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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-17 |
| TX | RA | APPROVED_RES | 2020-03-09 |
Branch Locations
4812 S Jackson Rd, Edinburg, TX 78539 • United States
1440 N Harbor Blvd Suite 707, Fullerton, CA 92835 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Los Alamitos | CA | 10/2011 | Present |
(1) 05/28/2015 - NO BUSINESS NAME - INV REL - 6 CENTERPOINTE DR #700 LA PALMA, CA - NON-VARIABLE INSURANCE - START 05/20/2015 - 2 HRS/MO DURING SECS TRDG HRS (2) 12/16/2015 * Agent SOCAL Insurance & Investment Solutions * Non-Variable Insurance * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 01/01/2016 * 10 HRS/MO; 1 HR/MO DURING SECS TRDG HRS. (3) 06/27/2016: JV Financial, LLC - DBA for LPL Business (entity for LPL business) - DBA: JV Financial, LLC - INV REL - Start 06/10/2016 - 6 centerpointe dr suite 700 La Palma, CA 90623 - no to all questions it is simply an LLC for tax purposes for my LPL business. - 160 Hr/Mo; 8 Hours During Securities Trading (4) 11/20/2025 - Corazon de Valle - Other - Wine Maker - Not Investment Related - Home Based - Start Date 10/01/2025 - 3 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-26 |
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