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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2022-07-22 |
| MN | RA | APPROVED | 2013-12-20 |
| TX | RA | APPROVED | 2011-04-26 |
Branch Locations
4524 Highway 61 N, White Bear Lake, MN 55110 • 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 | White Bear Lake | MN | 02/2010 | Present |
1. 02/08/2010: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 30% - Sell fixed life, LTC, disability, and health insurance. 2. 7/27/2010: North Oaks Legal Services, LLC - Other-Legal Services - Time Spent 5% - Facilitate the establishment of wills, powers of attorney, living wills, revocable living trusts, todd's, and other instruments based on client's needs. Legal documents are created by an outside law firm. The law firm will pay a commission. 3. 7/27/2010: North Oaks Financial Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 2/28/2010: Mortgage Capital MN, Inc. - Investment Related - Mortgage/Real Estate Services - Time Spent 5% - First and second mortgages for purchases and refinancing. Provided through Mortgage Capital MN. 5. 07/28/2014 - North Oaks Realty, LLC - Investment Related - At Reported Business Location(s) - Other-Real Estate Broker - Started 07/10/2010 - 10 Hours Per Month/4 Hours During Securities Trading 6. 8/27/2014: No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 08/26/2014 - 1 Hour Per Month During Securities Trading - Notary public. Do not charge fee. 7. 1/25/2016: No Business Name - Not Investment Related - Various Locations - Other-Speaker - Started 01/15/2016 - 1 Hour Per Month During Securities Trading - Making occasional motivational speeches at churches, colleges, businesses. 8. 3/18/2021 - Gun Club, LLC - Investment Related - 4524 Highway 61 N, White Bear Lake, MN 55110 - Real Estate Rental - Start Date: 04/01/2021 - 5 Hours Per Month During Securities Trading - Entity created own office building. 9. 05/17/2022 - Lake Office, LLC - Not Investment Related - At Reported Business Location(s) - Other - LLC - Start Date - 04/01/2021 - 5 Hours Per Month/ 5 Hours During Securities Trading. 10. 04/18/2023 - North Oaks Realty, LLC - Investment Related - At Reported Business Location(s) - Other - Real Estate Broker - Start Date 07/10/2010 - 10 Hours Per Month/4 Hours During Securities Trading 11. 12/13/2024- North Oaks Wealth Management- DBA for LPL Business (entity for LPL business)- INV Related- At reported business location(s)- Start date 01/10/2025- 1 HR per month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 1983-06-23 |
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