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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-11-28 |
Branch Locations
27865 Clemens Road, Ste 2, Westlake, OH 44145 • 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 |
|---|---|---|---|---|
| The O.N. Equity Sales Company | Cincinnati | OH | 11/2001 | 11/2023 |
| Ohio National Life Insurance | Cincinnati | OH | 10/2001 | 11/2023 |
| Lpl Financial Llc | Westlake | OH | 11/2023 | Present |
1) 11/2023 - Maxim Financial Group LLC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 20 Hrs per month / 15% Time Spent 2) 11/2023 - Simpliterm LTD / Insurance Agency / Inv. Related / Westlake Ohio / Start date 03/23/2022 - 8 Hrs per month - 5 % Time Spent 3) 11/2023 - Maxim Financial Group LLC / Insurance Agency / Inv. Related / Westlake Ohio / Start date 03/23/2022 - 16 Hrs per month - 15 % Time Spent
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-09-01 |
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