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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-09-30 |
Branch Locations
9300 Shelbyville Rd Ste 1305, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Kentucky Securities Corp | Louisville | KY | 06/2013 | 09/2024 |
| Lpl Financial | Louisville | KY | 09/2024 | Present |
1 - 09/10/2024 - FENWICK FINANCIAL GROUP - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 8 Hours During Trading - At reported business location(s). 2 - 09/10/2024 - NOTARY PUBLIC - PATRICIA HUGUES - Notary - Inv Related - <1 Hour per Month - <1 Hour During Trading - KY 40218 - OBA Start Date: 08/25/2024.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-02 |
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