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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-28 |
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Napa | CA | 07/2015 | Present |
| Financial Advocates Investment Management | Napa | CA | 07/2015 | Present |
1. 7/23/2015: VINTAGE WEALTH ADVISORS - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - STARTED 6/1/2015 - 100% TIME SPENT. 2. 7/24/2015: FINANCIAL ADVOCATES INVESTMENT MANAGEMENT - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR HYBRID - STARTED 10/01/2015 - 100% TIME SPENT - IAR. 3. 8/3/2015: VINTAGE WEALTH ADVISORS - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR DBA - START DATE 10/2015 - TIME SPENT 100% - IAR. 4. 05/06/2019 - Five 1 Trucking - Not investment related - Home based - Family Business - start date:05/01/2019 - 60 hrs/mo - 0 hrs during trading - My husband owns his own semi-truck and is in the process of getting his DBA. I want to be listed on his DBA for the sole purpose of having access to his business bank account if needed. 5. 06/07/2022 - Angela Yvonne Denna - Investment Related - At Reported Business Location(s) - Other - Notary Public - Notary - Start Date - 08/19/2021 - 1 Hours Per Month/ 1 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-05-05 |
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