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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-11-29 |
Branch Locations
338 E Lindsay St, Stockton, CA 95202 • United States
Stockton, CA • 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 |
|---|---|---|---|---|
| Bank Of Stockton | Stockton | CA | 09/1993 | Present |
| National Planning Corporation | Lodi | CA | 07/1999 | 11/2017 |
| Lpl Financial Llc | Stockton | CA | 11/2017 | Present |
1. 11/29/2017 - Golden Bear Insurance Company - Not Investment Related - 1550 W. Fremont St., Stockton CA 95203 2nd Fl - For-Profit Board Member - Start Date 2007 - Time Spent 50% - Active member of Board of Directors and on the Audit Committee. 2. 3/30/2020 - Bank of Stockton - DBA: Investment & Insurance Services at Bank of Stockton - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/25/2020 - 40 Hours Per Month/8 Hours During Securities Trading. 3. 5/14/2020 - Bank of Stockton - DBA: Investment and Insurance Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/12/2020 - 40 Hours Per Month/40 Hours During Securities Trading. 4. 10/17/2022 - Bank of Stockton - Not Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 01/01/1993 - 10 Hours Per Month/10 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-11-06 |
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