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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-10-14 |
| MO | RA | APPROVED | 2019-11-22 |
| TX | RA | APPROVED | 2019-11-22 |
Branch Locations
1401 S Brentwood Blvd Ste 400, St. Louis, MO 63144 • United States
Naples, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life | Milwaukee | WI | 10/1981 | 11/2019 |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 04/1984 | 11/2019 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 10/2007 | 11/2019 |
| Lpl Financial Llc | St. Louis | MO | 11/2019 | Present |
1. 8/11/2020 - NorthWestern Mutual - Investment Related - Home Based - Non-Variable Insurance Trails Only - Started 09/08/1981 - 0 Hours Per Month. 2. 8/12/2020 - Gatewood Group - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 06/13/1997. 3. 09/15/2022 - Gatewood Wealth Solutions, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 10/22/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 4. 02/25/2026 - The Listening Company, LLC - Business Owner - Not Investment Related - Naples, FL - Start Date 02/12/2026 - 40 hours per month/ during trading 5. 03/16/2026 - The Listening Advisor (Book) - To Be Owned by The Listening Company, LLC - Other - Author - Not Investment Related - Naples, FL - Start Date 02/25/2026 - 40 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-30 |
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