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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| NJ | RA | APPROVED | 2018-05-02 |
Branch Locations
275 W 39Th St, 4Th Floor, New York, NY 10018 • 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 |
|---|---|---|---|---|
| Lpl Financial, Llc | New York | NY | 05/2018 | Present |
| Petersen Investments, Inc. | New York | NY | 08/2006 | 05/2018 |
1. 5/1/2018 - Quint, Miller & Company - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/27/2018 - 160 Hours Per Month - Time Spent 100%. 2. 5/13/2020 - MSR Partners - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 04/22/2020 - 0 Hours Per Month. 3. 02/20/2026 - jonathan staiman - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 02/01/2026 - 0 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1985-06-14 |
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