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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-09-21 |
Branch Locations
5000 Birch St E Tower, Ste 460, Newport Beach, CA 92660 • United States
5575 Lake Park Way Ste 100-01, La Mesa, CA 92142 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities Llc | San Diego | CA | 10/2015 | 02/2018 |
| The Prudential Insurance Company Of America | San Diego | CA | 10/2015 | 02/2018 |
| Lpl Financial, Llc | San Diego | CA | 02/2018 | 10/2020 |
| Advisor Growth Solutions Llc | San Diego | CA | 10/2020 | Present |
| Lpl Financial, Llc | Newport Beach | CA | 12/2020 | Present |
1) 09/21/2022- Pence Financial Group- DBA for LPL Business (entity for LPL business)- inv. related- At Reported Business Location(s) - start date 10/01/2020 - 136hrs/mth - 34hrs during trading. 2) 09/21/2022- Non-Variable Insurance Trails Only- Non-Variable Insurance Trails Only - inv. related- San Diego, CA - start date 5/1/2011- 4hrs/mth - 1hr during trading. 3) 09/21/2022- Advisor Growth Solutions, LLC- Business Owner/founder- non inv. related- La Mesa, CA- start date 10/1/2020- 30hrs/mth - 5hrs during trading. 4) 10/28/2024 - Skopos Insurance Solutions, LLC- Investment Related -At Reported Bus Loc(s) - Non-Variable Insurance - Start Date 9/21/2022 - 20 Hours Per Month/5 Hours During Trading 5) 08/01/2026 - (Limited Purpose) Pence Capital Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date - 10/01/2020 - 20 Hours Per Month/5 Hours During Securities Trading - I provide administrative support to Pence Capital Management, LLC, an independent investment advisor firm. I started this business activity in 10/2022. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-14 |
| S63 | Uniform Securities Agent State Law Examination | 2011-05-26 |
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