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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-06-24 |
| CA | RA | APPROVED | 2019-06-21 |
Branch Locations
1440 Draper St Ste B, Kingsburg, CA 93631 • United States
1332 Draper Street, Ste E, Kingsburg, CA 93631 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Advisory Services Llc | San Jose | CA | 09/2014 | 06/2019 |
| Foresters Financial Services | San Jose | CA | 05/2016 | 06/2019 |
| Lpl Financial, Llc | Kingsburg | CA | 06/2019 | Present |
1. 10/01/2013 - RENTAL PROPERTY/ REAL ESTATE RENTAL/ INVESTMENT RELATED/ 0%/ 5633 CALMOR AVE, SAN JOSE, CA 95123-5709 2. 1/15/2021 - No Business Name - Investment Related - Bass Lake, CA 93604 - Real Estate Rental - Start Date: 1/6/2021 - 2 Hours Per Month/0 Hours During Securities Trading - Cabin will be rented on and off throughout year. 3. 08/26/2021 - Good Life Insurance Associates - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 08/30/2021 - 10 Hours Per Month/1 Hour During Securities Trading 4. 06/15/2023 - No Business Name - Not Investment Related - Kingsburg City Hall 1401 Draper St, Kingsburg, CA 93631 - Non-Profit Board Member - Start Date 05/15/2023 - 3 Hours Per Month/ 0 Hours During Securities Trading 5. 06/26/2023 - Nino Family Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/16/2023 - 40 Hours Per Month/ 40 Hours During Securities Trading 6. 11/07/2024 - Real Estate Rental - Investment Related - Kingsburg CA - Start Date 10/23/2024 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 2007-07-24 |
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