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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-05-22 |
| CA | RA | APPROVED | 2025-05-15 |
Branch Locations
39199 Paseo Padre Parkway Ste A, Fremont, CA 94538 • 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 |
|---|---|---|---|---|
| Fremont Bank | Fremont | CA | 06/2002 | 01/2017 |
| Sorrento Pacific Finacial, Llc | San Diego | CA | 05/2011 | 11/2016 |
| Lpl Financial Llc | Fremont | CA | 11/2016 | 01/2017 |
| Sorrento Pacific Financial, Llc | San Diego | CA | 01/2017 | 05/2025 |
| Dcn Wealth Management | Pleasanton | CA | 02/2017 | 05/2025 |
| Lpl Financial Llc | Fremont | CA | 05/2025 | Present |
1. 05/2025: DCN Wealth Management; At reported business location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 2/21/2017; 50hrs/mo.; 30hrs during trading. 2. 05/2025 - CardBoom4 Collectors - Business Owner - Not Investment Related - Home Based - Start Date 01/01/2000 - 3 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-12 |
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