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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2008-09-19 |
Branch Locations
2202 Grand Canal Blvd. #10, Stockton, CA 95207 • 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 | Stockton | CA | 09/2008 | Present |
| Safe Credit Union | West Sacramento | CA | 01/2011 | 03/2017 |
(1) 08/15/2010: Financial Resources Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 10/21/2016: MT Retirement Planning - DBA for LPL Business (entity for LPL business) - Investment Related - 1785 Erickson Circle, Stockton, CA 95206 - Start 10/15/2016 - 160 Hr/Mo; 160 Hour(s) During Securities Trading - This is a DBA for my LPL related investment, advisory and financial planning services. This name is only used for business related to those services. I am the only one involved in this DBA, and I am structured as a sole proprietor. No other insurance agency is registered with this, and it is not currently an RIA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-11-13 |
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