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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-26 |
Branch Locations
513 Lincoln Avenue, Napa, CA 94558 • United States
Petaluma, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab Bank | Roseville | CA | 05/2016 | 05/2019 |
| Charles Schwab & Co., Inc. | Roseville | CA | 05/2016 | 05/2019 |
| Financial Engines Advisors L.L.C. | Sunnyvale | CA | 05/2019 | 07/2023 |
| Lpl Financial Llc | Petaluma | CA | 07/2023 | Present |
1) 07/10/2023 - Serce Financial - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 09/11/2024 - Real Estate Rental - Investment Related - Petaluma, CA - Start Date 10/01/2024 - 0 Hours Per Month/ During Trading 3) 09/11/2024 - Majestic Vegas Estate and Laie Beachfront Oasis - Real Estate Rental - Investment Related - Laie, HI & Las Vegas, NV - Start Date 10/01/2024 - 4 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-12-26 |
| S66 | Uniform Combined State Law Examination | 2005-10-05 |
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