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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2002-07-19
  • CA RA
    APPROVED
    Since 2002-07-19

Branch Locations

10604 N Trademark Pkwy #300, Rancho Cucamonga, CA 91730-1136 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Rancho Cucamonya CA 02/2002 Present
Other Businesses

1. 11/6/2006 - DBA ONLY - HORIZION WEALTH MANAGEMENT GROUP, INC. - RANCHO CUCAMONGA, CA. 2. 11/1/2007 - NON-VARIABLE INSURANCE - SELLING WHOLE LIFE INSURANCE AND FIXED ANNUITIES FOR PENSION PLANS. - TIME SPENT 15% - RANCHO CUCAMONGA, CA.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-12-04
  • S63 Uniform Securities Agent State Law Examination
    1996-12-04

View on SEC IAPD

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