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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| CO | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2007-10-30 |
Branch Locations
9070 Irvine Center Dr, Ste 230, Irvine, CA 92618 • United States
Telluride, CO • United States
39 Prospect Hill Road, East Windsor, CT 06088 • United States
8333 Douglas Ave, Suite 1310, Dallas, TX 75225 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Irvine | CA | 05/2005 | Present |
1. 05/06/2005 - WEALTHWISE FINANCIAL SERVICES - NON-VARIABLE INSURANCE DBA 2. 8/11/2005 - OTHER - LOREENG, INC. - COMMISSION DEPOSIT ONLY. - IRVINE, CA. 3. 6/2/2006 - OTHER - WEALTH WISE FINANCIAL SERVICES - PROVIDING SEMINARS TO CLIENTS AND PROSPECTS - NOMINAL FEE ONLY TO COVER MATERIALS, ALL MATERIALS SUBJECT TO ADVERTISING APPROVAL. - TIME SPENT 1%. 4. 9/13/2006 - NON-VARIABLE INSURANCE - LIFESTYLE INSURANCE - INV REL - SELLING LTC - 1% TIME SPENT - IRVINE, CA. 5. 9/19/2006 - OTHER-REFERRAL - AMERIESTATE LEGAL PLAN - PROVIDES LEGAL DOCUMENTS SUCH AS TRUSTS FOR A FEE, I WOULD RESELL THE PLANS AS AN ASSOCIATE. - 1% TIME SPENT - IRVINE, CA. 6. 4/16/2013 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - SELLING LIFE AND HEALTH INSURANCE. - TIME SPENT 1% - IRVINE, CA. 7. 1/24/2019 - Deer Park Lane, LLC - Investment Related - 9070 Irvine Center Drive, Suite 230, Irvine, CA 92618 & Telluride, CO 81435 - Real Estate Rental - Started 12/17/2018 - 4 Hours Per Month/0 Hours During Securities Trading - Rental property in Telluride. 8. 9/23/2019 - No business name - Investment related - The Pacific Club once per year - Seminar - start date:09/05/2019 - 1 hr/mo - 0 hrs during trading. 9. 8/27/2021 - No Business Name - Investment Related - 9070 Irvine Center Drive, Suite 230, Irvine, CA 92618 - Real Estate Rental - Started 01/01/2019 - 1 Hours Per Month/0 Hours During Securities Trading. 10. 11/12/2021 - BGA - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 01/01/2021 - 4 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1991-04-03 |
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