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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2022-03-31 |
| TX | RA | APPROVED_RES | 2022-03-30 |
Branch Locations
201 1St St Se, Suite 720, Cedar Rapids, IA 52401 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Cedar Rapids | IA | 02/2012 | 03/2022 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 03/2022 |
| Lpl Financial Llc | Cedar Rapids | IA | 03/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 03/2022 |
1. 07/18/2022 - The Owen F Winterberg Irrev Trust - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Start Date - 07/14/2014 - 2 Hours Per Month/0 Hours During Securities Trading. 2. 03/13/2024 - TAETAM LLC - Business Entity For Tax/Investment Purposes Only - Owner - Not Investment Related - Home Based - Start Date 05/16/2022 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-03 |
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