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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2018-02-14 |
| TX | RA | APPROVED_RES | 2018-02-14 |
Branch Locations
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 |
|---|---|---|---|---|
| O'COnnor & Associates | Grand Island | NE | 02/1984 | Present |
| Sii Investments, Inc. | Grand Island | NE | 09/1996 | 02/2018 |
| Lpl Financial Llc | Grand Island | NE | 02/2018 | Present |
1. 03/09/2018 - Equitable Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 9/15/2018 - O'Connor & Associates Inc - Investment Related - At Reported Business Location(s) - Insurance Agency - President - Start Date: 01/01/1989 - 10 Hours Per Month/2 Hours During Securities Trading. 3. 05/02/2019 - No business name - Not investment related - At reported business location(s) - Notary Public - start date:01/01/2003 - 0 hrs/mo - 0 hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-12 |
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