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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-04-27 |
| HI | RA | APPROVED | 2025-03-24 |
| CA | RA | APPROVED | 2024-03-12 |
Branch Locations
1855 Gateway Blvd Ste 570, Concord, CA 94520 • United States
1750 Kalakaua Ave Ste 2702, Honolulu, HI 96826 • 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 |
|---|---|---|---|---|
| Nationwide Investment Services Corporation | Columbus | OH | 09/2013 | 12/2019 |
| Principal Funds Distributor, Inc | Des Moines | IA | 12/2019 | 03/2024 |
| Lpl Financial, Llc | Concord | CA | 03/2024 | Present |
1) 2024-03-11 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - MC Financial Partners - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2024-02-12 - 160hrs/mth - 40hrs/mth during trading 2) 2026-05-04 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Koko Head Financial Planning - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2026-04-29 - 20hrs/mth - 0hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-19 |
| S65 | Uniform Investment Adviser Law Examination | 1999-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-24 |
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