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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-03-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wunderlich Securities, Inc. | Houston | TX | 09/2000 | 03/2017 |
| Lpl Financial, Llc | Houston | TX | 03/2017 | Present |
1. 03/13/2017 - NEAL FINANCIAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ HOUSTON, TX 2. 03/13/2017 - CINCO RANCH SW MUD #3/ NON-PROFIT BOARD MEMBER/ 1%/ HOUSTON, TX 3. 11/26/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 01/01/2021 - 1 Hour Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-15 |
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