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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-19 |
| OR | RA | APPROVED | 2023-07-19 |
Branch Locations
8770 Washington Blvd, Culver City, CA 90232 • United States
74-989 Highway 111, Indian Wells, CA 92210 • United States
4400 Macarthur Blvd Ste 600 4Th Floor, Newport Beach, CA 92660 • United States
3062 East 9Th Street, Oakland, CA 94601 • United States
18860 Cox Ave, Saratoga, CA 95070 • United States
176 Main Street, Los Altos, CA 94022 • United States
206 Tennant Station, Morgan Hill, CA 95037 • United States
1058 'B' St, Hayward, CA 94541 • United States
180 Montgomery St 24Th Flr, San Francisco, CA 94104 • United States
615 Tasman Dr Suite D, Sunnyvale, CA 94089 • United States
50 W. San Fernando St Ste 275, San Jose, CA 95113 • United States
7865 Monterey St, Gilroy, CA 95020 • United States
1333 N. California Blvd. Suite Sl10, Walnut Creek, CA 94596 • United States
Brentwood, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bancwest Investment Services | San Ramon | CA | 04/2011 | 02/2023 |
| Bmo Bank Na | San Ramon | CA | 04/2011 | Present |
| Lpl Financial Llc | Gilroy | CA | 07/2023 | Present |
1. 05/15/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 05/15/2023 - M & J Family LLC - Not Investment Related - 2152 Carson Street - Business Owner - Co-Owner - Start Date 09/12/2022 - .5 Hours Per Month/ 0 Hours During Securities Trading - Time Spent 1% 3. 05/15/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Head of Northern California and Pacific Northwest Private Wealth - Start Date 04/04/2011 - 160 Hours Per Month/ 6.5 Hours During Trading - Time Spent 100% 4. 11/08/2023 - Real Estate Rentals Held in name of family trust - Investment Related - Multiple NV Locations - Real Estate Rental - Owner - Start Date 11/01/2020 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-04 |
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