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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-06-05 |
| MA | RA | APPROVED | 2025-06-05 |
| NM | RA | APPROVED | 2025-06-05 |
| OK | RA | APPROVED | 2025-06-05 |
| TX | RA | APPROVED | 2025-06-05 |
Branch Locations
2555 Townsgate Rd Ste 300, Westlake Village, CA 91361 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Western International Securities, Inc. | Pasadena | CA | 02/2009 | 06/2025 |
| Lpl Financial Llc | Westlake Village | CA | 06/2025 | Present |
1. 06/05/2025- Newport Harbor Baseball Association- Non-profit volunteer (not on board)- Not INV Related- At Newport Beach, CA- Start date 01/31/2012- 25 Hours Per Month 2. 06/05/2025- SMM Holdings, Inc- Business Entity For Tax/Investment Purposes Only- Inv Related- Home Based- Start date 09/11/2014- 8 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-22 |
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