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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-01-09 |
Branch Locations
400 S. Hope St. Third Floor, Los Angeles, CA 90071 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| California United Bank | Encino | CA | 05/2005 | 12/2017 |
| National Planning Corporation | Los Angeles | CA | 01/2016 | 11/2017 |
| Lpl Financial Llc | San Diego | CA | 11/2017 | 01/2018 |
| American Business Bank (111049) | Los Angeles | CA | 03/2018 | Present |
| Lpl Financial Llc | Los Angeles | CA | 01/2020 | Present |
1. 10/06/2022 - American Business Bank (111049) - Investment Related - At Reported Business Location(s) - Financial Institution Duty - VP, treasurer - Start Date - 03/30/2018 - 40 Hours Per Month/8 Hours During Securities Trading 2. 08/21/2023 - American Business Bank DBA ABB Investments - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/05/2023 - 80 Hours Per Month/ 4 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-15 |
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