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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-04 |
Branch Locations
5000 Birch Street #8000, Newport Beach, CA 92660-2158 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | Rancho Santa Fe | CA | 05/2013 | 09/2016 |
| Wells Fargo Advisors, Llc | San Diego | CA | 09/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 11/2016 | 06/2018 |
| Us Bank | La Jolla | CA | 07/2018 | 01/2020 |
| U.S. Bancorp Securities, Inc. | La Jolla | CA | 07/2018 | 01/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 01/2020 | 02/2024 |
| Bank Of America, N.A. | San Diego | CA | 01/2020 | 02/2024 |
| Lpl Financial Llc | San Diego | CA | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 2011-08-22 |
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