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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-09-01 |
| TX | RA | APPROVED | 2020-09-01 |
Branch Locations
5900 Pasteur Ct Ste 150, Carlsbad, CA 92008 • United States
16789 Bernardo Center Dr, San Diego, CA 92128 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lucia Capital Group | San Diego | CA | 04/2010 | 10/2020 |
| Lucia Securities, Llc | San Diego | CA | 09/2011 | 10/2020 |
| Lpl Financial, Llc | San Diego | CA | 09/2020 | Present |
1. 9/1/2020 - LUCIA CAPITAL GROUP - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Start 9/1/2020 - 40 Hours Per Month/6 Hours During Securities Trading - Time Spent 100%. 2. 10/26/2020 - Westland Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 10/08/2020 - 10 Hours Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-05-07 |
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