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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-11-28 |
Branch Locations
27865 Clemens Road Suite 2, Westlake, OH 44145 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
27865 Clemens Road, Ste 2, Westlake, OH 44145 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The O.N. Equity Sales Company | Cincinnati | OH | 01/2004 | 11/2023 |
| Lpl Financial Llc | Westlake | OH | 11/2023 | Present |
1) 11/2023 - Maxim Financial Group LLC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 11/2023 - Non-Variable Insurance / Inv. Related / Westlake, OH / Start date 11/27/2023 - 2 Hrs per month - 5% Time Spent
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-02-20 |
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