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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2026-08-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| George K. Baum & Company | Kansas City | MO | 12/2018 | 07/2019 |
| S&P Global Ratings | Dallas | TX | 01/2015 | 02/2017 |
| S&P Global Ratings | Centennial | CO | 02/2017 | 11/2018 |
| George K. Baum & Company | Kansas City | MO | 07/2019 | 09/2019 |
| Piper Sandler | Denver | CO | 12/2019 | 05/2021 |
| Bny Mellon Pershing | Greenwood Village | CO | 05/2021 | 06/2022 |
| Lpl Financial Llc | Denver | CO | 05/2024 | Present |
| Bmo Investment Services | Denver | CO | 05/2024 | Present |
| Hilltopsecurities Inc. | Denver | CO | 06/2022 | 04/2024 |
1) 04/14/2024 - BMO Investment - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 04/14/2024 - BMO - Financial Institution Duty - Senior Premier Relationship - Co 80206 - Investment related - 160 Hours per month - Start date: 04/29/2024.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2020-06-27 |
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