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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-04-25 |
| TX | RA | APPROVED_RES | 2019-04-25 |
Branch Locations
10505 N 69Th St Ste 500, Scottsdale, AZ 85253 • 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Scottsdale | AZ | 09/2005 | 04/2019 |
| Lpl Financial | Scottsdale | AZ | 04/2019 | Present |
1. 4/25/2019 - DBA for LPL Business (entity for LPL business) - 7C's Wealth Management - 100% - Scottsdale, AZ 2. 11/20/2020 - 7C's Resource Management - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 12/31/1995 - 0 Hours Per Month/0 Hours During Securities Trading - LLC created for tax purposes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1986-03-06 |
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