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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2018-11-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii Investments, Inc. | Grand Island | NE | 02/1999 | 02/2018 |
| Lpl Financial Llc | Grand Island | NE | 02/2018 | Present |
1. 03/09/2018 - Equitable Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 9/4/2018 - O'Connor & Associates, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Agent - Start Date: 08/01/1997 - 10 Hours Per Month/5 Hours During Securities Trading - Soliciting and selling Insurance Products. 3. 05/09/2019 - Family Farm - Not investment related - 49770 HIGHWAY 56 Greeley Ne. 68842 - Business Owner - start date:05/01/1982 - 25 hrs/mo - 0 hrs during trading - Owner/operator.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-09 |
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