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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-01-23 |
| IL | RA | APPROVED | 1998-04-12 |
Branch Locations
1211 W. 22Nd St, Suite 209, Oak Brook, IL 60523 • United States
Glenview, IL • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Chicago | IL | 06/1996 | Present |
(1) 1/23/2007 - THIRD PARTY ADMINISTRATOR (TPA) - RETIREMENT SOLUTIONS ADVISERS, LLC - A NEW AND SEPARATE ENTITY PROVIDING TPA CONSULTING SERVICES TO OUR RETIREMENT PLAN CLIENTS - CONSULTING, RECORD KEEPING AND ADMINISTRATIVE DUTIES ONLY, NO CUSTODY OR ASSET MANAGEMENT. - INVESTMENT RELATED - TIME SPENT 10% - CHICAGO, IL. (2) 7/25/2008 - OTHER-NOTARY - NOTARIZE DOCUMENT 1-2 TIMES PER WEEK. - NOT INVESTMENT RELATED - TIME SPENT 1% - CHICAGO, IL. (3) 3/3/2014 - COMMUNITY, CIVIC AND CHARITABLE BOARD - THE MAINE COMMUNITY COLLEGE SYSTEM - NOT INVESTMENT RELATED - TIME SPENT 2% - (4) 11/30/2017 - GoodWorth Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/01/2017 - 160 Hours Per Month/120 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-11 |
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