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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-05-18 |
Branch Locations
332 S California, West Covina, CA 91790-2913 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuna Brokerage Services, Inc. | Waverly | IA | 06/2017 | Present |
| Schoolsfirst Fcu | Santa Ana | CA | 12/2012 | Present |
| Lpl Financial Llc | Pasadena | CA | 05/2022 | Present |
1)05/18/2022 - No Business Name - Investment Related - Corona, CA 92880-9137 - Real Estate Rental - owner - Start Date: 2/2016 - 1 Hour Per Month 2)05/18/2022 - School First CU - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Retirement plan representative - Start Date: 12/17/2012- 160 Hours Per Month/0 Hours During Securities Trading 3)05/18/2022 - SchoolsFirst Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 4)06/22/2022 - SchoolsFirst Retirement Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-26 |
| S66 | Uniform Combined State Law Examination | 2004-08-13 |
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