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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-05-15 |
| TX | RA | APPROVED | 2025-05-15 |
| WA | RA | APPROVED | 2025-05-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth Inc. | La Mesa | CA | 12/2004 | 05/2025 |
| Tax & Capital Management 360 | La Mesa | CA | 10/2011 | Present |
| Lpl Financial | Vancouver, | WA | 05/2025 | Present |
1- 2/2025 / Tax & Capital Management 360 / Tax Preparation and Tax Planning / Investment Related / 50 hrs mth / 50 hrs during trading / La Mesa, CA / Start date: 02/04/2025 2- 2/2025 / Tax & Capital Management 360 / DBA for LPL Business (entity for LPL business) / Investment Related / 50 hrs mth / 50 hrs during trading / At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-20 |
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