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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-16 |
| TX | RA | APPROVED_RES | 2020-04-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | San Jose | CA | 04/2016 | Present |
(1) 04/29/2016: Sequoia Wealth Advisors & Investment Management Inc - DBA for LPL Business (entity for LPL business) - Investment Related - 99 Almaden Blvd #925, San Jose, CA - 100% Time Spent (2) 10/13/2016: BGA Insurance - Non-Variable Insurance - Investment Related - 99 Almaden Blvd., Suite 925, San Jose, CA 95113 - Start 09/26/2016 - 1 Hr/Mo; 1 Hour(s) During Securities Trading - Life Insurance
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-31 |
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