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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-11-13 |
Branch Locations
Newport Beach, CA • United States
12130 Millennium Dr Ste 300, Los Angeles, CA 90094 • 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Los Angeles | CA | 12/2013 | 11/2019 |
| Lpl Financial, Llc | Los Angeles | CA | 11/2019 | Present |
1)05/2019 - DBA for LPL Business (entity for LPL business) - AGC ADVISORS - 90% - INVESTMENT RELATED - NEWPORT EACH, CA 2)05/2013 - NON-VARIABLE INSURANCE - TRAILS ONLY - AARON COOK - 0% - INVESTMENT RELATED - NEWPORT BEACH, CA 92663 3) 5/26/2020 - Gallagher Benefits Services, Inc. - Investment Related - Location/Address: Generally via phone or in customers' businesses - Non-Variable Insurance - Introducing Agent/Agent - Started 05/15/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 4) 3/16/2021 - AGC Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/01/2019 - Time Spent 90%. 5) 3/16/2021 - AGC Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/01/2019 - Time Spent 90%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-01-14 |
| S65 | Uniform Investment Adviser Law Examination | 1999-04-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-07 |
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