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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-03-15 |
| ME | RA | APPROVED | 2018-06-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Backriver Financial Group | Farmingdale | ME | 11/2013 | 07/2020 |
| Lpl Financial, Llc | Lewiston | ME | 01/2015 | Present |
| The Patriot Financial Group | Lewiston | ME | 03/2015 | 06/2018 |
1. 1/12/2015 - TWIN CITY FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS - Time Spent 50%. 2. 7/7/2020 - Back River Tax Accounting - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 06/01/2020 - 50 Hours Per Month During Securities Trading - Fully licensed participant in the CPA Affiliate Program.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-21 |
| S65 | Uniform Investment Adviser Law Examination | 2009-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2008-07-27 |
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