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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-12-14 |
| KS | RA | APPROVED | 2009-11-07 |
Branch Locations
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 | Fairway | KS | 11/2009 | Present |
1. 12/27/2010: OTHER-TEACHER/INSTRUCTOR- KANSAS CITY COMMUNITY COLLEGE - TEACHING AN INVESTMENT COURSE AT KANSAS CITY KS COMMUNITY COLLEGE. - NOT INVESTMENT RELATED - TIME SPENT 1% - KANSAS CITY, KS. 2. 06/01/2022 - Kaufmann Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/06/2009 - 40 Hours Per Month/30 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1983-10-17 |
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