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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2021-10-29 |
| TX | RA | APPROVED | 2021-10-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kenai Fjords Tours | Seward | AK | 05/2014 | 08/2017 |
| Vista Fleet | Duluth | MN | 04/2016 | 07/2019 |
| Student | Duluth | MN | 01/2008 | 12/2017 |
| Thrivent Investment Management Inc | Duluth | MN | 02/2018 | 11/2018 |
| Thrivent Financial | Appleton | WI | 03/2018 | 11/2018 |
| Wells Fargo Clearing Services, Llc | Duluth | MN | 01/2019 | 07/2021 |
| Lpl Financial, Llc | Faribault | MN | 07/2021 | Present |
| State Bank Of Faribault | Faribault | MN | 07/2021 | Present |
1. 9/27/2021 - SBF Investment Center - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/19/2021 - 200 Hours Per Month/140 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 2018-07-06 |
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