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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-05-12 |
| CA | RA | APPROVED | 2014-11-03 |
Branch Locations
8255 Firestone Blvd Ste 406, Downey, CA 90241 • 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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Downey | CA | 10/2014 | Present |
1. 10/31/2014 - No Business Name - Investment Related - Tax Prep/Accounting/CPA - Tax Preparer - Time Spent 10%. 2. 12/09/2024 - Other - Notary Service - Investment Related - At Reported Business Location(s) - Start Date 05/17/2024 - 5 hours pe rmonth/ 1 hour during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-17 |
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