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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-26 |
Branch Locations
33301 Alvarado Niles Road, Union City, CA 94587 • 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 |
|---|---|---|---|---|
| Hsbc Bank Usa, N.A. | Milpitas | CA | 01/2015 | 02/2024 |
| Hsbc Securities (Ua) Inc. | Milpitas | CA | 01/2015 | 02/2024 |
| Bmo Harris Bank | Union City | CA | 11/2025 | Present |
| Lpl Financial, Llc | Union City | CA | 11/2025 | Present |
| Unemployed | Union City | CA | 03/2024 | 10/2025 |
1)11/20/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO INVESTMENT SERVICES - Inv Rel - At Reported Business Location(s) 2)11/20/2025 - BMO HARRIS BANK - Financial Institution Duty - Inv Rel - At Reported Business Location(s) - Start: 11/2025 - 160 Hr/Mth 3)11/20/2025 - Real Estate Rental - Inv Rel - Merced, CA - Start: 03/2013
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 2013-09-12 |
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