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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-06-11 |
Branch Locations
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 |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Highlands Ranch | CO | 06/2016 | 05/2024 |
| Wells Fargo Clearing Services, Llc | Denver | CO | 07/2017 | 05/2021 |
| Wells Fargo Clearing Services, Llc | Monument | CO | 04/2022 | 05/2024 |
| Bmo Bank N.A. | Highlands Ranch | CO | 06/2024 | Present |
| Lpl Financial Llc | Highlands Ranch | CO | 06/2024 | Present |
1. 05/28/2024- 2 Adams St Unit 1605 LLC- Real Estate Rental- Inv Rel- CO 80206-Start Date 6/13/2017 2. 05/28/2024 - LPL Financial dba BMO Investment Services- Financial Institution- Inv Rel- 160 hrs mnth0 40 hrs during trading - CO 80129- Start Date 05/28/2024 3. 05/28/2024- Rockhurst 403 LLC- Real Estate Rental- Inv Rel- CO 80129- Start Date 03/21/2017 4. 05/28/2024- Notary- Inv Rel- CO 80129-Start Date 10/24/2016 5. 05/28/2024- BMO Investment Services- Financial Institution- Inv Rel- 160 hrs mnth0 40 hrs during trading - CO 80129- Start Date 05/28/2024
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 2017-10-13 |
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