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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-07-18 |
| CA | RA | APPROVED | 2017-11-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Brea | CA | 03/2014 | 11/2017 |
| Lpl Financial Llc | Brea | CA | 11/2017 | Present |
1. 11/29/2017 - Genuine Financial Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - President - Start Date 3/1/2014 - Genuine Financial Services - Life and Fixed. 2. 8/13/2018 - Genuine Financial Services - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 01/19/2003 - 1 Hour Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-23 |
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