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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2017-11-29 |
| MO | RA | APPROVED | 2017-11-29 |
Branch Locations
779 Wall St, O Fallon, IL 62269 • United States
3451 St Albans Road Suite C, Saint Albans, MO 63073 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | O'FAllon | IL | 10/2007 | 11/2017 |
| Lpl Financial Llc | O'FAllon | IL | 11/2017 | Present |
1. 11/29/2017 - Gateway Financial Resources - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/24/2006 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 03/01/2019 - Resource One Advisors - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:06/29/2017 - 40 hrs/mo - 10 hrs during trading. 3. 06/07/2019 - Wall Street Advisory Group LLC - Not investment related - At reported business location(s) - Business Entity For Tax/Investment Purposes Only - start date:01/27/2006 - 0 hrs/mo - 0 hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 1990-07-24 |
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