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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-12-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Waterhouse Investor Services Inc | San Diego | CA | 06/1998 | 07/2017 |
| Sagepoint Financial, Inc. | Carlsbad | CA | 10/2017 | 11/2017 |
| Lpl Financial Llc | San Diego | CA | 12/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-30 |
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