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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Millbrae | CA | 10/2014 | 11/2016 |
| Wells Fargo Bank, Na | Millbrae | CA | 04/2013 | 11/2018 |
| Wells Fargo Clearing Services, Llc | Millbrae | CA | 11/2016 | 11/2018 |
| Citibank | San Francisco | CA | 11/2018 | 03/2020 |
| Wells Fargo Clearing Services, Llc | Millbrae | CA | 03/2020 | 03/2024 |
| Wells Fargo Bank, Na | Millbrae | CA | 04/2020 | 03/2024 |
| Lpl Financial | Burlingame | CA | 03/2024 | Present |
| Bmo | Burlingame | CA | 03/2024 | Present |
1- 03/2024 / BMO Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 2- 03/2024 / BMO / Financial Institution Duty / Investment Related / 160 hrs mth / 40 hrs during trading / Start date: 03/13/2024
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 2014-11-26 |
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