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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-05 |
| CO | RA | APPROVED | 2023-12-04 |
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 |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 05/2007 | 12/2023 |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 05/2007 | 12/2023 |
| Lpl Financial Llc | Denver | CO | 12/2023 | Present |
1) 11/07/2023 - A.G. FINANCIAL SERVICES INC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 11/07/2023 - 309 PROPERTIES,LLC - Real Estate Rental - Business entity for real Estate investment - GA 31522 - Non investment related - Start date: 06/30/2023. 3) 11/07/2023 - Tax Prep - Tax Prep/Accounting/CPA - CO 80237 - Investment related - 1 Hour per month - Start date: 01/01/1992. 4) 11/07/2023 - Non-Variable Insurance - Selling: Life, Fixed Annuity - CO 80237 - Investment related - 10 Hours per month - Start date: 01/01/1988.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1986-01-10 |
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