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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-11-04 |
Branch Locations
8687 E Via De Ventura Ste 200, Scottsdale, AZ 85258 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mutual Of Omaha Investor Services | Phoenix | AZ | 04/2017 | 11/2019 |
| Mutual Of Omaha Insurance Company | Phoenix | AZ | 11/2016 | 11/2019 |
| Arizona State University | Tempe | AZ | 01/2015 | 12/2016 |
| Massmutual Life Insurance Company | Scottdale | AZ | 11/2019 | 10/2021 |
| Mml Investors Services, Llc | Scottsdale | AZ | 01/2020 | 10/2021 |
| Mutual Of Omaha | Phoenix | AZ | 04/2017 | 11/2019 |
| Lpl Financial, Llc | Scottsdale | AZ | 10/2021 | Present |
1. 10/5/2021 - Progressive Financial Concepts - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/24/21 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 10/14/2021 - WCG Wealth Advisors, LLC - DBA: The Wealth Consulting Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/12/2021. 3. 12/07/2023 - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 01/01/2023 - 20 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-11-19 |
| S65 | Uniform Investment Adviser Law Examination | 2017-05-09 |
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