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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-05 |
| WA | RA | APPROVED | 2024-09-04 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
1200 Harris Ave, Suite 409, Bellingham, WA 98225 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Bellingham | WA | 07/2013 | 01/2017 |
| Cwm, Llc | Ferndale | WA | 09/2015 | 07/2022 |
| Cetera Advisor Networks Llc | El Segundo | CA | 01/2017 | 05/2022 |
| Asset Advisors Llc | Ferndale | WA | 07/2013 | 07/2022 |
| Cwm, Llc | Omaha | NE | 06/2022 | 09/2024 |
| Carson Wealth | Bellingham | WA | 09/2022 | 09/2024 |
| Lpl Financial Llc | Bellingham | WA | 09/2024 | Present |
1. Transformational Advisory Group- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location(s)- 160 Hrs Per Mnth- 8 Hrs During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-23 |
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