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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-09-03 |
| CA | RA | APPROVED | 2011-04-20 |
| WA | RA | APPROVED | 2007-05-09 |
Branch Locations
1200 Westlake Ave N. Ste 1000, Seattle, WA 98109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Irvine | CA | 09/2002 | Present |
1. 12/11/2015 - One Oak Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - START 01/01/2016 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 12/21/2016 - BGA Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/22/2016 - 8 Hours Per Month/2 Hours During Securities Trading - Fixed insurance. 3. 9/13/2018 - One Oak WM Washington - DBA: One Oak Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/2018 - 85 Hours Per Month/4 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-11-26 |
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