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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-10-25 |
| VA | RA | APPROVED | 2022-08-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Kilmarnock | VA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Kilmarnock | VA | 11/2016 | 07/2022 |
| Lpl Financial | Richmond | VA | 07/2022 | Present |
1. 8/8/2022: Moore Financial Services; At reported business location(s); DBA for LPL Business (entity for LPL business); Inv. Related. 2. 8/8/2022: Moore Financial Services; At reported business location(s); Non-Variable Insurance; Inv. Related. 3. 8/8/2022: Department of Elections; Elections; Non-Inv. Related; Richmond, VA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1986-04-08 |
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