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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-29 |
Branch Locations
3189 Danville Blvd Suite 280, Alamo, CA 94507 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Amg Funds Llc | Norwalk | CT | 06/2015 | 03/2018 |
| Transamerica Capital Inc | Denver | CO | 03/2018 | 04/2024 |
| Lpl Financial Llc | Antioch | CA | 04/2024 | Present |
1- 05/29/2024 - Other - Estate Services - Not Investment Related - At Reported Business Location(s) - Start Date 06/03/2024 - 4 Hours Per Month/ 0 Hours During Trading 2- 09/17/2024 - Catalyst Financial Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/21/2024 - 40 Hours Per Month/ 2 Hours During Trading 3- 02/27/2025 - Advantage Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/17/2025 - 40 Hours Per Month/ 5 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-28 |
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