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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-12-15 |
| TX | RA | APPROVED_RES | 2024-07-01 |
Branch Locations
10000 Washington Blvd Ste 600, Culver City, CA 90232 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
2945 Townsgate Road, Suite 200, Office 68, Westlake Village, CA 91361 • 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Westlake Village | CA | 10/2013 | 03/2020 |
| Ameriprise Financial Services, Llc | Westlake Village | CA | 03/2020 | 07/2024 |
| Lpl Financial Llc | Westlake Village | CA | 07/2024 | Present |
1) 06/20/2024 - Carter Wealth Advisors LLC - Business Entity For Tax/Investment Purposes Only - CA 91362 - Non investment related - 1 Hour per month - Start date: 07/01/2024. 2) 05/05/2024 - Oak Gate Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-18 |
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