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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-21 |
Branch Locations
4400 Macarthur Blvd Ste 100, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | 07/2017 |
| Jpmorgan Chase Bank Na | Los Angeles | CA | 07/2017 | 01/2025 |
| Jpmorgan Securities Llc | Los Angeles | CA | 07/2017 | 01/2025 |
| Lpl Financial Llc | Newport Beach | CA | 01/2025 | Present |
| Bmo Harris Bank | Newport Beach | CA | 01/2025 | Present |
1 - 12/2024 - BMO INVESTMENT SERVICES - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-06 |
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