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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-07-19 |
| CA | RA | APPROVED | 2023-07-19 |
| NV | RA | APPROVED | 2023-07-19 |
| TX | RA | APPROVED_RES | 2023-07-19 |
| UT | RA | APPROVED | 2023-07-19 |
Branch Locations
1111A Wolfe Road, Cupertino, CA 95014 • United States
2910 Stevens Creek Blvd Ste 100, San Jose, CA 95128 • United States
50 W. San Fernando St Ste 275, San Jose, CA 95113 • United States
321 Gellert Blvd, Daly City, CA 94015 • United States
1705 El Camino Real Ste 275, Santa Clara, CA 95050 • United States
308 N. Santa Cruz Ave, Los Gatos, CA 95030 • United States
176 Main Street, Los Altos, CA 94022 • United States
San Francisco, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of The West | Saratoga | CA | 03/2011 | Present |
| Bancwest Investment Services | Saratoga | CA | 03/2011 | Present |
| Lpl Financial Llc | San Jose | CA | 07/2023 | Present |
1. 04/25/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA 1. 7/19/23 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-09-04 |
| S65 | Uniform Investment Adviser Law Examination | 1997-09-04 |
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