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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-28 |
Branch Locations
2888 Loker Avenue East Ste 204, Carlsbad, CA 92010 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Carlsbad | CA | 08/2016 | 09/2023 |
| Lpl Financialllc | Carlsbad | CA | 09/2023 | Present |
1)1- 09/2023 / AZCA FINANCIAL GROUP LLC / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / 160 HRS MNTH / 8 HRS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-05-30 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-02 |
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