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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-07-06 |
| TX | RA | APPROVED_RES | 2020-07-06 |
Branch Locations
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 |
|---|---|---|---|---|
| Financial West Group | Westlake Village | CA | 04/2011 | 08/2017 |
| Petzinfo, Inc. | Simi Valley | CA | 03/2015 | 07/2018 |
| Western International Securities, Inc. | Pasadena | CA | 08/2017 | 07/2020 |
| Lpl Financial, Llc | Thousand Oaks | CA | 07/2020 | Present |
1)06/2020 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - SIGNET STRATEGIC WEALTH MANAGEMENT - INVESTMENT RELATED - THOUSAND OAKS, CA 91361 2)2015 - REAL ESTATE RENTAL - 4443 SAUGUS AVE., SHERMAN OAKS, CA 91403 - 1% - INVESTMENT RELATED - SHERMAN OAKS, CA 91403 3)04/2011 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - JEROME S ARON - 0% - INVESTMENT RELATED - THOUSAND OAKS, CA 91361 4)03/2012 - HOME OWNERS ASSOCIATION - GREENLEAF - 1HR/MO 0 HRS DURING TRADING - NOT INVESTMENT RELATED - SHERMAN OAKS, CA 91403 5) 4/12/2023 - DBS - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 04/19/2023 - 5 Hours Per Month/2 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-05 |
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