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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AK | RA | APPROVED | 2018-02-14 |
| AZ | RA | APPROVED | 2018-02-14 |
| CA | RA | APPROVED | 2018-02-14 |
| CO | RA | APPROVED | 2018-02-14 |
| HI | RA | APPROVED | 2018-02-14 |
| NV | RA | APPROVED | 2018-02-14 |
| NC | RA | APPROVED | 2018-02-14 |
| OH | RA | APPROVED | 2018-02-14 |
| OR | RA | APPROVED | 2018-02-14 |
| PA | RA | APPROVED | 2018-02-14 |
| TX | RA | APPROVED_RES | 2018-02-14 |
| WA | RA | APPROVED | 2018-02-14 |
Branch Locations
5771 S Fort Apache Rd # 130, Las Vegas, NV 89148 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corporation | Tampa | FL | 04/2003 | 02/2018 |
| Lpl Financial Llc | Las Vegas | NV | 02/2018 | Present |
1. 02/14/2018 - Caldera Props, LLC - Not Investment Related - 7881 W Charleston Blvd Ste 220, Las Vegas, NV 89117-8327 - Real Estate Rental - Start Date 7/1/2014 - 1 Hours Per Month. 2. 4/9/2018 - Joseph A Caldera, Inc - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 09/19/2003 - 48 Hours Per Month During Securities Trading. 3. 7/19/2018 - Caldera Wealth Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 07/06/2018 - 10 Hours Per Month/1 Hour During Securities Trading. 4. 8/13/2018 - Joseph A Caldera, INC. - DBA: Caldera Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/01/2008 - 48 Hours Per Month/48 Hours During Securities Trading. 5. 3/20/2019 - Caldera Wealth Management Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/19/2019 - 40 Hours Per Month/6 Hour During Securities Trading. 6. 7/11/2019 - Caldera Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 07/15/2019 - 160 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-02-25 |
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