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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-28 |
Branch Locations
2998 Douglas Blvd Suite 200, Roseville, CA 95661 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc | Los Altos | CA | 02/2015 | 04/2018 |
| Charles Schwab Bank | Los Altos | CA | 02/2015 | 04/2018 |
| Jpmorgan Chase Bank, N.A. | San Jose | CA | 04/2018 | 03/2019 |
| J.P. Morgan Securities, Llc | San Jose | CA | 04/2018 | 03/2019 |
| Fidelity Brokerage Services | Campbell | CA | 04/2019 | 03/2020 |
| Equity Smart Home Loans | S. Pasadena | CA | 02/2023 | 03/2025 |
| Lpl Enterprise Llc | Roseville | CA | 03/2025 | Present |
| Unemployed | San Jose | CA | 04/2020 | 06/2021 |
| Inspire Home Loans | Newport Beach | CA | 07/2021 | 02/2022 |
| Homeowners Financial Group | Roseville | CA | 03/2022 | 05/2022 |
| Nexa Mortgage | Chandler | AZ | 06/2022 | 01/2023 |
1. 03/17/2025 - Bautista Group, a California Corporation - Mortgage/Real Estate Services - INV REL - Auburn, CA - Start Date 04/15/2024 - 1 HR/MO 2. 03/17/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Lincoln, CA - Start Date 03/17/2025 - 160 HRS/MO 3. 03/17/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Lincoln, CA - Start Date 03/17/2025 - 160 HRS/MO
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-10-22 |
| S66 | Uniform Combined State Law Examination | 2025-08-18 |
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