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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-04-13 |
| TX | RA | APPROVED | 2009-11-18 |
Branch Locations
1700 N. Redbud Blvd Ste 130, Mckinney, TX 75069 • United States
6401 S. Custer Rd., Mckinney, TX 75070-3176 • United States
8201 Preston Rd. #265, Dallas, TX 75225 • United States
1845 Woodall Rodgers Frwy. Suite 200, Dallas, TX 75201 • United States
6100 Preston Rd, Frisco, TX 75034 • United States
7050 Lebanon Rd, Frisco, TX 75034 • United States
1845 Woodall Rogers Frwy, 10Th Floor, Dallas, TX 75225 • United States
1700 Redbud Blvd, Mckinney, TX 75069 • 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 | Mckinney | TX | 11/2009 | Present |
| First United Bank & Trust | Mckinney | TX | 11/2011 | Present |
1. 9/6/2012 - First United Wealth Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 15% - Wealth Management is primary DBA. 2. 8/18/2014 - First United Trust Dept. - Investment Related - At Reported Business Location(s) - Financial Institution Duty - VP and Trust Officer - Started 11/20/11 - 10 Hours Per Month/8 Hours During Securities Trading - VP and Trust Officer, in the Trust Dept., do not have discretionary authority over the investments or trading authority. 3. 9/18/2017 - First United Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/07/2017 - 160 Hours Per Month/120 Hours During Securities Trading. 4. 12/2/2020 - Simplicity Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 11/25/2020 - 5 Hours Per Month/1 Hour During Securities Trading. 5. 3/23/2021 - Alpha Solutions Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/05/2020 - 6 Hours Per Month/2 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-24 |
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