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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-12-07 |
| TX | RA | APPROVED_RES | 2023-12-07 |
Branch Locations
28202 Cabot Rd Ste 600, Laguna Niguel, CA 92677 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 02/2009 | 12/2023 |
| Diversified Investment Services, Inc. | Anaheim Hills | CA | 02/2009 | 12/2023 |
| Lpl Financial Llc | Laguna Niguel | CA | 12/2023 | Present |
1) 11/12/2023 - Coastal Wealth Inc. - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 01/11/2024 - Atherton Holdings Inc - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 160 Hours Per month/ 4 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-20 |
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