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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-09-05 |
| CA | RA | APPROVED | 2024-11-14 |
Branch Locations
1255 Treat Blvd. Suite 300, Walnut Creek, CA 94597 • United States
1731 Technology Dr Suite 600, San Jose, CA 95110 • 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 |
|---|---|---|---|---|
| Tiaa | San Francisco | CA | 09/2014 | 12/2019 |
| Tiaa-Cref Individual & Institutional Services, Llc | San Francisco | CA | 09/2014 | 12/2019 |
| Pruco Securities, Llc. | Walnut Creek | CA | 06/2021 | 11/2024 |
| Prudential Insurance Company Of America | Walnut Creek | CA | 06/2021 | Present |
| Retired | San Francisco | CA | 01/2020 | 05/2021 |
| Lpl Enterprise, Llc | Walnut Creek | CA | 11/2024 | Present |
1) 12/23/2025-Raynard Chun & Dana Seto-Chun Family Trust-Property owner-Real Estate Rental-Inv Related-At Dublin, CA-Start date 09/15/2005-2hrs/mth-0hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-03 |
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