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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-02-22 |
| CA | RA | APPROVED | 2026-02-20 |
Branch Locations
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Mateo | CA | 12/2008 | 05/2018 |
| Bank Of America, N.A. | San Mateo | CA | 12/2010 | 05/2018 |
| Rbc Capital Markets, Llc. | San Francisco | CA | 05/2018 | 02/2026 |
| City National Bank | San Francisco | CA | 11/2018 | 12/2022 |
| Lpl Enterprise Llc | San Jose | CA | 02/2026 | Present |
1. 2/18/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - Novato CA - OBA Start date: 02/09/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading 2. 2/18/2026 - KEITH LOEGERING N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Investment Related - Novato CA - OBA Start date: 02/09/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading 3. 2/18/2026 - Mr October foundation - Non-profit volunteer (not on board) - Not Investment Related - Carmel CA - OBA Start date: 11/08/2014 - 5 Hour(s)/Month - 0 Hour(s) During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-09 |
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