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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-05-05 |
| CA | RA | APPROVED | 2003-07-17 |
Branch Locations
10100 Trinity Pkwy., Ste 430, Stockton, CA 95219 • United States
3554 Round Barn Blvd Ste 305, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Stockton | CA | 07/2003 | Present |
1. 11/7/2007: No Business Name - Investment Related - Real Estate Rental - Time Spent 0% - 2 Single Family Residences. A property manager handles the rentals. No tenants are customers. 2. 6/6/2014: Life Path Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/15/2014 - 180 Hours Per Month/40 Hours During Securities Trading. 3. 09/21/2022 - HA Wealth Management LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Owner - Start Date - 01/01/2010 - 5 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-17 |
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