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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-09-10 |
Branch Locations
7033 E Greenway Parkway Suite 130, Scottsdale, AZ 85254 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Mesa | AZ | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Mesa | AZ | 11/2016 | 09/2021 |
| Lpl Financial, Llc | Scottsdale | AZ | 09/2021 | Present |
1. 03/31/2017 - PLATINUM CRT, LLC/ REAL ESTATE RENTAL/ INVESTMENT RELATED/ 1%/ SCOTTSDALE, AZ 2. 9/7/2021 - GPL Asset Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 8/2021. 3. 9/7/2021 - PLATINUM CRT, LLC - Investment Related - Home Base - Real Estate Rental - Owner - Started 3/31/2017 - Currently no properties. 4. 11/03/2021 - CGWM LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 10/22/2021 - 160 Hours Per Month/6 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1986-09-15 |
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