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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-10-23 |
| CA | RA | APPROVED | 2009-09-09 |
Branch Locations
100 N Westlake Blvd Ste 203, Westlake Village, CA 91362-3765 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Westlake Village | CA | 09/2009 | Present |
1. 09/04/09- STERLING FINANCIAL STRATEGIES/ DBA ONLY/ FIXED INSURANCE BUSINESS/ 5% OF TIME/ WESTLAKE VILLAGE, CA 2. 08/15/2019 - No business name - Investment related - Mammoth Lakes, CA 93546 - Real Estate Rental - start date:01/01/2017 - 1 hr/mo - 0 hrs during trading - My wife and I rent out a townhouse via airbnb and vrbo. 3. 06/15/2023 - Financial Strategies Group, LLP - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 03/15/2017 - 4 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-12-29 |
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