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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED | 2021-07-21 |
Branch Locations
Huntington Beach, CA • United States
3010 Old Ranch Pkwy Ste 250, Seal Beach, CA 90740 • 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 |
|---|---|---|---|---|
| Waddell And Reed Inc | Seal Beach | CA | 05/2000 | 07/2021 |
| Various Insurance Carriers | Huntington Beach | CA | 07/2000 | 07/2021 |
| James R Dumbeck, Notary Public | Huntington Beach | CA | 04/2000 | 10/2020 |
| Santiago Canyon College | Orange | CA | 10/2007 | 10/2020 |
| Orange Coast College | Costa Mesa | CA | 06/2007 | 10/2020 |
| Lpl Financial Llc | Seal Beach | CA | 07/2021 | Present |
1) 08/14/2018 - DBA for LPL Business (entity for LPL business) / TDK Financial Group / Investment Related / Seal Beach, CA 90740 2) 07/2021 - Non-Variable Insurance / James Dumbeck / Investment Related / Seal Beach, CA 90740 3) 03/08/2024 - WAVELENGTH INSURANCE CONSULTING, INC. DBA WATERMARK LIFE INSURANCE SERVICES - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Partner - Started: 8/1/2023 - 3 Hrs/Mo During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-24 |
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