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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-10-04
TX RA APPROVED 2022-10-03
  • CA RA
    APPROVED
    Since 2022-10-04
  • TX RA
    APPROVED
    Since 2022-10-03

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

3480 Torrance Blvd Ste 102, Torrance, CA 90503 • United States

3480 Torrance Blvd Ste 102, Torrance, CA 90503 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fsc Securities Corporation Santa Monica CA 03/1990 10/2022
Tag Financial Inc. Diamond Bar CA 04/2000 10/2022
Lpl Financial Llc Torrance CA 10/2022 Present
  • 03/1990 → 10/2022
    Fsc Securities Corporation
    Santa Monica, CA
  • 04/2000 → 10/2022
    Tag Financial Inc.
    Diamond Bar, CA
  • 10/2022 → Present
    Torrance, CA
Previous Registrations
  • 2000-08-02 → 2022-12-31
    The Advisory Group
    Torrance, CA
    Diamond Bar, CA
  • 1993-10-13 → 2022-10-11
    Fsc Securities Corporation
    Torrance, CA
Other Businesses

1. 10/03/2022 - THE ADVISORY GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ TORRANCE, CA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-15
S63 Uniform Securities Agent State Law Examination 1990-09-10
  • S66 Uniform Combined State Law Examination
    2005-11-15
  • S63 Uniform Securities Agent State Law Examination
    1990-09-10
Designations

View on SEC IAPD

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