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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
Branch Locations
15060 Ventura Blvd Ste 200, Sherman Oaks, CA 91403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Advisory Services, Llc | Monrovia | CA | 08/2015 | 11/2016 |
| Foresters Financial Services | Monrovia | CA | 12/2015 | 11/2016 |
| Various Insurance Carriers For W&R Insurance Agencies | Thousand Oaks | CA | 11/2016 | 07/2021 |
| Waddell & Reed, Inc | Sherman Oaks | CA | 11/2016 | 07/2021 |
| Educational Foundation Board Of Compton Usd | Compton | CA | 08/2016 | 07/2021 |
| Lpl Financial Llc | Sherman Oaks | CA | 07/2021 | Present |
1) 11/09/2016- TORI SAMUEL- Non-Variable Insurance- Agent- inv. related- Sherman Oaks CA- 1hrs/mth 2) 10/25/2022 - cwm - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/03/2019 - 40 Hours Per Month/7 Hours During Securities Trading 3) 2/23/2023 - Modern Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent, Insurance producer - Start Date - 02/21/2023 - 10 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 2012-01-14 |
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