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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-07-20 |
| CA | RA | APPROVED | 2003-01-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | San Diego | CA | 01/2003 | Present |
(1) 01/06/2016: PIETAS FINANCIAL, INC - DBA for LPL Business (entity for LPL business) - Investment Related - 2535 Truxtun Road #207, San Diego, CA 92106 - Start 01/01/2016 - 160 Hr/Mo; 160 Hour(s) During Securities Trading (2) 09/22/2016: NATHAN MEDINA TAX SERVICES - Tax Prep/Accounting/CPA - Not Investment Related - 2535 TRUXTUN ROAD, STE 207, SAN DIEGO, CA 92106 - Start 07/01/2016 - 20 Hr/Mo; 10 Hour(s) During Securities Trading - Tax Prep (3) 03/12/2019 - AFTER-TAX WEALTH MANAGEMENT - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:04/01/2019 - 160 hrs/mo - 8 hrs during trading. (4) 12/20/2019 - NATHAN MEDINA TAX SERVICES - DBA: After-Tax Wealth Management - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 07/01/2016 - 20 Hours Per Month/10 Hours During Securities Trading - Tax preparation/planning & tax preparer.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-07 |
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