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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-11-29 |
| TX | RA | APPROVED_RES | 2017-11-29 |
Branch Locations
15490 Ventura Blvd., Suite 220, Sherman Oaks, CA 91403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Northridge | CA | 10/2006 | 11/2017 |
| Lpl Financial Llc | Sherman Oaks | CA | 11/2017 | Present |
1. 11/29/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life, LTC - start date 1/2007 - 10% time spent per month. 2. 11/29/2017 - Premier Financial Consultants - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Advisor - start date 10/2006 - 75% time spent per month. 3. 11/29/2017 - Dennis F. Rose & Associates - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Agent - start date 1/2007 - 15% time spent per month. 4. 01/13/2O22 - Rose, Figueroa & Associates - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Agent - Start Date: 12/15/2021 - 10 Hours Per Month/0 Hour During Securities Trading - Tax Prep.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-27 |
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