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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2021-07-21 |
| AR | RA | APPROVED | 2021-07-21 |
| CA | RA | APPROVED | 2021-07-21 |
| CO | RA | APPROVED | 2021-07-21 |
| DC | RA | APPROVED | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| IL | RA | APPROVED | 2021-07-21 |
| KS | RA | APPROVED | 2021-07-21 |
| KY | RA | APPROVED | 2021-07-21 |
| ME | RA | APPROVED | 2021-07-21 |
| MD | RA | APPROVED | 2021-07-21 |
| MN | RA | APPROVED | 2021-07-21 |
| MO | RA | APPROVED | 2021-07-21 |
| MT | RA | APPROVED | 2021-07-21 |
| NV | RA | APPROVED | 2021-07-21 |
| NC | RA | APPROVED | 2021-07-21 |
| OH | RA | APPROVED | 2021-07-21 |
| SC | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED | 2021-07-21 |
| VA | RA | APPROVED | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
| WI | RA | APPROVED | 2021-07-21 |
| WY | RA | APPROVED | 2021-07-21 |
Branch Locations
1891 N Gaffey St., Ste 226, San Pedro, CA 90731 • United States
9635 Granite Ridge Dr, Ste 100, San Diego, CA 92123 • 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 |
|---|---|---|---|---|
| Waddell & Reed, Inc. | San Diego | CA | 06/1989 | 07/2021 |
| Ruch-Fleming Partnerhship | San Diego | CA | 01/2014 | 09/2018 |
| Act Today ( Autism Care & Treatment | Woodland Hills | CA | 12/2016 | 10/2020 |
| Lumena Financial Strategies, Inc | San Diego | CA | 03/2017 | 07/2021 |
| Women In Blue Executive Cabinet | San Diego | CA | 01/2019 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Rancho Santa Fe | CA | 09/1989 | 07/2021 |
| Lpl Financial Llc | San Diego | CA | 07/2021 | Present |
1. 12/3/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance. 2. 12/13/2021 - Lumena Financial Strategies, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/16/2017 - 800 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 1991-03-26 |
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