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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2023-07-19 |
| MN | RA | APPROVED | 2023-07-19 |
| MT | RA | APPROVED | 2023-07-19 |
| WI | RA | APPROVED | 2023-07-19 |
Branch Locations
120 W Water St, Decorah, IA 52101-1806 • United States
124 East Grove Street, Caledonia, MN 55921-1304 • United States
Decorah, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Decorah | IA | 07/2023 | Present |
| Bank Of The West | Decorah | IA | 02/2018 | Present |
| Anderson Law Office | Decorah | IA | 05/2015 | 12/2017 |
| Bancwest Investment Services | Decorah | IA | 02/2018 | Present |
1. 05/10/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 05/10/2023 - Notary - Investment Related - At Reported Business Location(s) - Notary - Start Date 11/14/2021 - 1 Hour Per Month/ .05 Hors During Trading - Time Spent 1% 3. 05/10/2023 - D & K Tractor Repair and Restoration - Not Investment Related - 1358 Canoe Ridge Road, Decorah, IA - Business Owner - Owner - Start Date 06/01/2000 - 2 Hours Per Month/ 0 Hours During Trading - Time Spent 1% 4. 05/10/2023 - No Business Name - Investment Related - Winneshiek County, IA - Real Estate Rental - Start Date 04/17/2011 - 1 Hour Per Month/0 Hours During Trading - Time Spent 1%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-29 |
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