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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-05 |
| CA | RA | APPROVED | 2015-03-10 |
Branch Locations
520 E Broadway Ste 305, Glendale, CA 91205 • United States
450 N Brand Blvd., Suite 820, Glendale, CA 91203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Pasadena | CA | 03/2015 | Present |
1. 3/2/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/03/2017 - 20 Hours Per Month/10 Hours During Securities Trading - Non-variable insurance sales (life, health, LTC, disability, fixed annuities).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-27 |
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