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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-07-10 |
| WI | RA | APPROVED | 2025-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Next Financial Group, Inc. | Houston | TX | 11/2017 | 07/2025 |
| Great Lakes Senior Living | Waterford | WI | 03/2017 | 12/2017 |
| Us Bank | Racine | WI | 04/2015 | 03/2017 |
| Lpl Financial Llc | Waterford | WI | 07/2025 | Present |
1. 07/10/2025- Patriot Financial- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 11/14/2018- 160 Hours Per Month- 160 Hours During Trading 2. 07/10/2025- Patriot Financial/Tax- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 11/14/2018- 20 Hours Per Month- 20 Hours During Trading 3. 07/10/2025- Patriot Financial/Tax- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 11/14/2018- 160 Hours Per Month- 160 Hours During Trading 4. 07/10/2025- Matthew Giese- Notary- INV Related- At Reported Business Location(s)- Start date 05/01/2019- 1 Hour Per Month- 1 Hour During Trading 5. 09/08/2025 - Village of Waterford WI - Non-Profit Board Member - Finance Committee Member - Not Investment Related - Waterford, WI - Start Date 07/23/2025 - 5 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-22 |
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