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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-12-23 |
Branch Locations
200 Auburn Folsom Rd Ste 200, Auburn, CA 95603-5031 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Redding | CA | 07/2016 | Present |
| Lpl Financial Llc | Redding | CA | 11/2017 | Present |
1. 11/29/2017 - AWA Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Registered Administrative Associate - Start Date 04/2011 - 160 Hours Per Month. 2. 11/29/2017 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other - Start Date 09/08/2013 - 1 Hours Per Month - Notary Public - Providing notary services, as needed. 3. 05/24/2023 - Mariner Independent Advisor Network - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin - Start Date 03/31/2023 - 160 Hours Per Month/ 160 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Mariner Independent Advisor Network, LLC, an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisor 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 |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-05-17 |
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