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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-01-28 |
| OR | RA | APPROVED | 2007-12-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Corvallis | OR | 12/2007 | Present |
1. 11/26/2007 - REAL ESTATE RENTAL - OWNER OF OFFICE BUILDING IN CORVALLIS, OR/ COLLECTS RENT AND PAYS BILLS/ 1% OF HOURS/ CORVALLIS, OR. 2. 12/11/2007 - Northwest Financial Group, LLC - INV REL - AT REPORTED LCOATION - DBA for LPL Business (entity for LPL business) 3. 01/30/2008 - NON-VARIABLE INSURANCE DBA - NORTHWEST FINANCIAL GROUP, LLC - SALES AND SERVICE OF FIXED LIFE AND HEALTH PRODUCTS. COLLECT COMMISSIONS AND PAY EXPENSES TO RUN BUSINESS. - TIME SPENT 50% - CORVALLIS, OR. 4. 10/06/2011 - REAL ESTATE RENTAL - VANBUREN INVESTMENTS, LLC - VANBUREN INVESTMENTS LLC OWNES A PORTION OF THE BUILDING WHERE NORTHWEST FINANANCIAL GROUP, LLC RESIDES. - 1% OF TIME - CORVALLIS, OR. 5. 11/17/2013: OTHER-CORP WHICH HOLDS 1/3 OWNERSHIP OF NORTHWEST - NFGM&K INC. IS OWNED BY ME SOLELY. IT OWNES 1/3 OF NORHTWEST FINANCIAL GROUP, LLC. - TIME SPENT 1% - CORVALLIS, OR. 6. 12/7/2020 - VanBuren Five Investments LLC - Investment Related - Home Based & Corvallis, OR 97330 - Real Estate Rental - Started 95131 - 1 Hour Per Month/0 Hours During Securities Trading. 7. 4/6/2021 - Northwest Financial Insurance Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 1/30/2008 - 3 Hours Per Month/3 Hours During Securities Trading - Sales and service of insurance products. 8. 9/21/2021 - Northwest Financial Insurance Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/04/2013 - 3 Hours Per Month During Securities Trading - Sales and service of Insurance products; Group Medical, Medicare, Medigap, etc. 9. 03/14/2024 - NFGM&K Inc. - Investment Related - At Reported Business Location(s) - Insurance Agency - Owner - Started 02/01/2008 - 15 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-05-03 |
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