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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2022-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Milwaukee | WI | 06/2015 | 10/2022 |
| Wells Fargo Clearing Services, Llc | Milwaukee | WI | 11/2016 | 10/2022 |
| Bmo Bank Na | Oak Creek | WI | 10/2022 | Present |
| Lpl Financial Llc | Oak Creek | WI | 10/2022 | Present |
1- 10/2022 / BMO Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / At Reported Business Location(s) 2- 10/2022 / Notary Public / Notary / Investment Related / At Reported Business Location(s) - Started 2020 3- 10/2022 / BMO Bank NA/ Financial Institution Duty / Investment Related / 160 HRS PER MNTH & 8 HRS During Trading-100% Time Spnt / At Reported Business Location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-10 |
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