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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-08-15 |
Branch Locations
520 Capitol Mall Ste 750, Sacramento, CA 95814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, N.A. | Danville | CA | 07/2006 | 08/2018 |
| Wells Fargo Advisors Llc | Danville | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Danville | CA | 11/2016 | 08/2018 |
| Lpl Financial Llc | Roseville | CA | 08/2018 | Present |
| California Bank & Trust (Zions Bank Affiliate) | Roseville | CA | 08/2018 | Present |
1. 8/15/2018 - CB&T Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/01/2018 - Time Spent 100%. 2. 8/15/2018 - ZB, N.A. - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Private Banking Relationship Manager - Started 07/30/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 3. 8/15/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Notary Public - Started 07/01/2018 - 0 Hours Per Month - Time Spent 0%. 4. 11/28/2023 - No Business Name - Non Inv Related - Roseville, CA - Other - Online Sales - Start date: 7/1/2023 - 20 Hrs/Mo; 0 Hrs During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-06-01 |
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