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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-10-06 |
| OK | RA | APPROVED | 2000-02-08 |
Branch Locations
7335 S. Lewis Ave., Suite 306, Tulsa, OK 74136-6845 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Tulsa | OK | 11/1999 | Present |
1) 4/11/2008: DBA ONLY - SMITH FINANCIAL GROUP, INC. - REGISTERED REP - TULSA, OK. 2) 02/24/2015 - SMITH FINANCIAL GROUP - SMITH FINANCIAL GROUP - TULSA, OK 3) 12/21/2017 - Fidler Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 12/07/2017 - 160 Hours Per Month/160 Hours During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1986-03-12 |
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