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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Denver | CO | 08/1983 | 07/2021 |
| Various Insurance Carriers | Denver | CO | 05/1985 | 07/2021 |
| Vj Hein & Co | Lakewood | CO | 10/2018 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Denver | CO | 05/1985 | 07/2021 |
| Rmw Financial Group Llc | Denver | CO | 07/2019 | 07/2021 |
| James T Caruso & Co Ltd | Denver | CO | 05/2019 | 07/2021 |
| Lpl Financial Llc | Denver | CO | 07/2021 | Present |
1) 06/04/2019 - Business Entity For Tax/Investment Purposes Only / James T Caruso & Co, LTD / Not Investment Related / Denver, CO, 80220 2) 04/25/2022 - Caruso | Jendrusch Generational Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 05/01/2022 - 10 Hours Per Month/ 0 Hours During Securities Trading. 3) 08/09/2022- Crump - Investment Related- At Reported Business Location(s)-Non-Variable Insurance- Start Date- 08/02/2022- 1 Hours Per Month/ 0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 1983-08-16 |
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