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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-03
TX RA APPROVED_RES 2021-08-10
  • CA RA
    APPROVED
    Since 2025-01-03
  • TX RA
    APPROVED_RES
    Since 2021-08-10

Branch Locations

43980 Margarita Rd #201, Temecula, CA 92592 • United States

Temecula, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Temecula CA 10/2014 Present
Other Businesses

1. 3/5/2020 - La Pointe Wealth Management, Inc. - DBA: La Pointe Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/02/2014 - 160 Hours Per Month/110 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-15
  • S66 Uniform Combined State Law Examination
    2014-12-15

View on SEC IAPD

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