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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-02-14 |
| GA | RA | APPROVED | 2018-02-14 |
| LA | RA | APPROVED | 2018-02-14 |
| TX | RA | APPROVED_RES | 2018-02-14 |
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 |
|---|---|---|---|---|
| Invest Financial Corporation | Metairie | LA | 03/2009 | 02/2018 |
| Lpl Financial, Llc | Metairie | LA | 02/2018 | Present |
1. 02/14/2018 - THOMAS-WADDELL & ASSOC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 7/1/87 - 15 Hours Per Month/5 Hours During Securities Trading. 2. 02/14/2018 - TWA ENTERTAINMENT - Not Investment Related - 3000 KINGMAN ST, METAIRE, LA - Other - Band and Artist Manager - Start Date 7/1/11 - 30 Hours Per Month. 3. 01/09/2019 - Compassion and Choices - Investment related - At reported business location(s) - Other - Speaker/Seminar - start date:01/01/2019 - 2 hrs/mo - 2 hrs during trading. 4. 10/18/2023 - Compassion and Choices - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Consultant - Start Date: 07/05/2021 - 30 Hours Per Month/5 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-03 |
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