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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-11-14 |
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 |
|---|---|---|---|---|
| Waddell & Reed Inc | Charlotte | NC | 02/2015 | 01/2018 |
| Ntt Data Consulting Inc | Charlotte | NC | 10/2015 | 01/2020 |
| Various Insurance Carriers For W&R Insurance Agencies | Concord | NC | 06/2016 | 01/2018 |
| Thomas Sauer | Charlotte | NC | 08/2016 | Present |
| Pruco Securities, Llc. | Charlotte | NC | 03/2018 | 11/2024 |
| Prudential Insurance Company Of America | Charlotte | NC | 07/2018 | Present |
| Lpl Enterprise, Llc | Charlotte | NC | 11/2024 | Present |
1. 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s) 2. 11/18/2025-Northlake Financial Management-Owner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 07/01/2016-160hrs/mth-160hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-09-28 |
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