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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-08-02 |
| CA | RA | APPROVED | 2020-10-01 |
Branch Locations
2603 Camino Ramon, Suite 200, San Ramon, CA 94583 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E.K. Riley Investments, Llc | Seattle | WA | 08/2016 | 11/2020 |
| Lpl Financial Llc | Walnut Creek | CA | 10/2020 | Present |
1)10/1/2020- ALEXIS ZULUETA- Non-Variable Insurance- Agent selling term, UL, Whole life, LTC- Inv. Related- Walnut Creek, CA- start date 10/1/2020- 8hrs/mth 2)10/1/2020- JESS AND ALEXIS ZULUETA, community property with right of survivorship- Real Estate Rental- property owner- Inv. Related- DANVILLE, CA- start date- 10/1/202- 1hrs/mth 3)10/1/2020- notary -Inv. Related- Danville, CA- start date 5/20/0217- 1hrs/mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-18 |
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