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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-06-03 |
| HI | RA | APPROVED | 2024-11-14 |
Branch Locations
15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • United States
1731 Technology Dr Suite 600, San Jose, CA 95110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Clinical Labs Of Hawaii | Ewa Beach | HI | 03/2003 | 05/2017 |
| Northwestern Mutual Investment Services Llc | Honolulu | HI | 09/2017 | 11/2017 |
| Edward Jones | Tempe | AZ | 05/2017 | 07/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 09/2017 | 12/2019 |
| Northwestern Mutual Investment Services Llc | Honolulu | HI | 01/2018 | 12/2019 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 02/2019 | 12/2019 |
| Pruco Securities, Llc. | Honolulu | HI | 12/2019 | 11/2024 |
| Prudential Insurance Company Of America | Honolulu | HI | 12/2019 | Present |
| Lpl Enterprise, Llc | Honolulu | HI | 11/2024 | Present |
1) 11/15/2024- Financial Benefits Insurance- Non-Variable Insurance- Help people enroll in Medicare Advantage Plans- INV Related- At Honolulu, HI- Start date 08/02/2021- 3 HRS MTH - 0 HRS During Trading 2) 10/16/2025-Guarantee Trust Life Insurance Company-Insurance Agent-Non-Variable Insurance-Inv related-At Honolulu, HI-Start date 10/15/2025-5hrs/mth-0hrs/mth during trading 3) 02/03/2026-Manhattan Life Insurance Company-Licensed Agent-Non-Variable Insurance-Inv related-At Great Neck, NY-Start date 02/02/2026-5hrs/mth-0hrs/mth during trading 4) 02/03/2026-Spirit Dental-Licensed Agent-Non-Variable Insurance-Inv related-At Bloomington, MN-Start date 02/02/2026-5hrs/mth-0hrs/mth during trading 5) 06/30/2026-Sunsource Power-Consultant-Outside/W-2 Employment-Not inv related-At Honolulu, HI-Start date 06/30/2026-3hrs/mth-0hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 2018-12-21 |
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