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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-01-05 |
| IA | RA | APPROVED | 1999-01-01 |
Branch Locations
3404 Midway Dr., Waterloo, IA 50701 • United States
Cedar Falls, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Cedar Falls | IA | 05/1992 | Present |
1. 01/02/2009 - BRAD LEE FINANCIAL SERVICES - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 4/21/2017 - Lee Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2016 - 45 Hours Per Month/8 Hours During Securities Trading. 3. 7/10/2018 - Royalsreview.com - Not Investment Related - Home Based - Other-Writing for baseball website - Start Date: 04/30/2018 - 5 Hours Per Month/0 Hours During Securities Trading - Contribute articles to royalsreview.com, a baseball website. 4. 11/04/2021 - Post Rock 2 LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date: 11/01/2021 - 2 Hours Per Month/1 Hour During Securities Trading - I have formed an LLC to buy an office building for the business
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1985-01-25 |
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