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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-09-23
  • CA RA
    APPROVED
    Since 2008-09-23

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

San Diego, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl San Diego CA 09/2008 Present
Uvest Financial Services Charlotte NC 06/2010 Present
  • 09/2008 → Present
    Lpl
    San Diego, CA
  • 06/2010 → Present
    Uvest Financial Services
    Charlotte, NC
Previous Registrations
  • 2005-11-29 → 2008-09-04
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Coronado, CA
    Coronado, CA
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-28
S63 Uniform Securities Agent State Law Examination 2001-04-27
  • S66 Uniform Combined State Law Examination
    2005-11-28
  • S63 Uniform Securities Agent State Law Examination
    2001-04-27

View on SEC IAPD

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