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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-14 |
Branch Locations
15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Irvine | CA | 03/2004 | 11/2017 |
| Trilogy Capital, Inc | Irvine | CA | 01/2016 | 03/2018 |
| Lpl Financial Llc | Irvine | CA | 11/2017 | 04/2018 |
| Trilogy Financial Services | Irvine | CA | 01/2004 | 03/2018 |
| Axa Advisors, Llc | New York | NY | 05/2018 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 05/2018 | 02/2021 |
| Pruco Securities Llc | Los Angeles | CA | 04/2021 | 11/2024 |
| The Prudential Insurance Co. Of America | Los Angeles | CA | 04/2021 | Present |
| Lpl Enterprise, Llc | Los Angeles | CA | 11/2024 | Present |
1) 02/19/2025 - Emily Hernandez - Act in a Fiduciary Capacity - Non INV Related - At Alhambra, CA - Start Date 01/01/2023 - 6hrs/mth - 6hrs During Trading 2) 02/19/2025 - Non sponsored health insurance - Non-Variable Insurance - Health Insurance sales, service or advice, Insurance sales, service or advice, Health insurance, sales, service - INV Related - At Hawthorne, CA - Start Date 10/12/2021 - 2hrs/mth - 2hrs During Trading 3) 02/19/2025 - Non sponsored appointments for renewals and service only - Non-Variable Insurance Commission Trails - Representing existing insurance clients - INV Related - At Hawthorne, CA - Start Date 03/01/2006 - 0hrs/mth - 0hrs During Trading 4) 02/19/2025 - LGBTQ Attorneys and Allies Bar Association - Non-Profit Board Member - Non INV Related - At Long Beach, CA - Start Date 02/02/2021 - 4hrs/mth - 0hrs During Trading 5) 02/19/2025 - LGBTQ Attorneys and Allies Bar Association - For-Profit Board Member - Non attorney board member /Board Services - Not INV Related - At Long Beach, CA - Start Date 02/02/2021 - 4hrs/mth - 4hrs During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 2004-04-09 |
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