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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-10-16 |
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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Stuart | FL | 07/2011 | 08/2021 |
| Oppenheimer Co, & Inc | West Palm Beach | FL | 10/2021 | 10/2023 |
| Lpl Financial | Stuart | FL | 10/2023 | Present |
1) 10/02/2023 - Investment Planning Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 11/13/2023 - JMAK, Inc - Business Entity For Tax/Investment Purposes Only - Not Investment Related - AT Reported Business Location(s) - Start Date 11/13/2023 - 10 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1983-12-02 |
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