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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2026-01-27 |
| TX | RA | APPROVED | 2023-05-19 |
Branch Locations
14881 Quorum Dr. Suite 125, Dallas, TX 75254 • United States
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 |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 03/2011 | Present |
| Sigma Planning Corporation | Ann Arbor | MI | 03/2011 | Present |
| Lpl Financial Llc | Dallas | TX | 05/2023 | Present |
1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 06/22/2023 - Just Got Paid - Not Investment Related - Dallas, TX - Artist/Musician - Musician in band - Start Date 8/1/2021 - 20 Hours Per Month - Time Spent 1%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-26 |
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