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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-09-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Abc Emergency Management Seminars | Walnut Creek | CA | 08/2007 | Present |
| Pacific Pension And Benefit Service Inc. | Concord | CA | 08/2007 | 09/2019 |
| Royal Alliance Associates, Inc. | Concord | CA | 05/2013 | 09/2019 |
| Lpl Financial Llc | Antioch | CA | 09/2019 | Present |
1. 9/23/2019 - PACIFIC PENSION AND BENEFIT SERVICES, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 9/2007 - Time Spent 90%. 2. 9/23/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 9/2007 - 20 Hours Per Month/1 Hour During Securities Trading - Time Spent 15%. 3. 9/23/2019 - ABC EMERGENCY MGMT SEMINARS - Not Investment Related - Home Based - Providing First AID & CPR TRAINING - Started 8/2007 - 4 Hours Per Month/0 Hours During Securities Trading - Time Spent 1%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 2007-12-04 |
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