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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-31 |
| CA | RA | APPROVED | 2017-11-29 |
| HI | RA | APPROVED | 2017-11-29 |
Branch Locations
6830 Via Del Oro Ste 250, San Jose, CA 95119 • United States
Gilroy, 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 |
|---|---|---|---|---|
| National Planning Corporation | San Jose | CA | 05/2007 | 11/2017 |
| Lpl Financial Llc | San Jose | CA | 11/2017 | Present |
1. 5/30/2018 - VANDER ZWAAG FINANCIAL, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Owner - Start Date: 02/01/2000 - 80 Hours Per Month/80 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-12-29 |
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