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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2009-09-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Avon | CT | 09/2009 | Present |
1. 04/20/10 - PRINGLE CAPITAL ADVISORS, LLC - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 1/20/2012 - ACT IN A FIDUCIARY CAPACITY - NANCY W. FOSSUM. I SERVE AS CO-TRUSTEE WITH THE CLIENT ON LPL ACCOUNT. COMPENSATION IS FOR MANAGING THE ACCOUNT ON A NON-DISCRETIONARY BASIS THROUGH LPL'S INVESTMENT ADVISOR PLATFORM. MRS. FOSSUM AND I HAVE KNOWN EACH OTHER FOR 28 YEARS. - TIME SPENT 3%
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1984-01-05 |
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