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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-08-29 |
| TX | RA | APPROVED | 2024-08-29 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
4747 Executive Drive Suite 1340, San Diego, CA 92121 • United States
4747 Executive Dr. Ste 1340, San Diego, CA 92121 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Stamford | CT | 09/2016 | 08/2024 |
| City National Bank | Stamford | CT | 12/2016 | 08/2024 |
| Lpl Financial Llc | San Diego | CA | 08/2024 | Present |
1 - 05/2024 - Design Wealth - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 8 Hours During Trading - At reported business location(s). 2 - 05/2024 - Design Private Wealth - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 8 Hours During Trading - At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-19 |
| S63 | Uniform Securities Agent State Law Examination | 2005-11-02 |
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