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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-06-23 |
| TX | RA | APPROVED | 2021-06-23 |
Branch Locations
550 Silver Spur Rd Ste 350, Rancho Palos Verdes, CA 90275 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Halbert, Hargrove | Long Beach | CA | 02/2007 | 07/2018 |
| Halbert, Hargrove/Russell, Llc | Long Beach | CA | 02/2007 | 07/2018 |
| Wells Fargo Clearing Services, Llc | Rolling Hills Estates | CA | 07/2018 | 06/2021 |
| Lpl Financial, Llc | Rancho Palos Verdes | CA | 06/2021 | Present |
1) 06/23/2021- Surf and Sage LLC- Business Entity For Tax/Investment Purposes Only- non-inv. related- Rolling Hills Estates, CA- Start Date: 06/2021 - 160 Hrs/Mth - 8 Hrs During Trading. 2) 06/23/2021- DBA for LPL Business (entity for LPL business) - Arise Private Wealth - Investment Related - Rolling Hills Estates, CA 90275 - Start Date: 7/01/2021 - 140 Hrs/Mth - 8 Hrs During Trading. 3) 06/23/2021- Business Owner - HEART OF ANANDA - Not Investment Related - 3110 Pattiz Ave. Long Beach, CA - start date 12/05/2020- 8hyrs/mth. 4) 06/23/2021- Real Estate Rental - Sathya Chey- Owner- Inv. Related- LONG BEACH CA- start date 5/2021- 1hrs/mth 5) 09/03/2025 - Harmoneum - Investment Related - Other - wealth coach - unpaid - Home Based - Start Date:06/16/2025 - 2 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-09-21 |
| S66 | Uniform Combined State Law Examination | 2008-04-01 |
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