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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2025-11-19 |
| CA | RA | APPROVED | 2024-09-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Funds Distributor, Inc. | El Dorado Hills | CA | 02/2015 | 05/2018 |
| Principal Funds Distributor, Inc. | Folsom | CA | 05/2018 | 11/2021 |
| Lpl Financial Llc | Sacramento | CA | 11/2021 | Present |
| Mariner Independent Advisor Network, Llc | Sacramento | CA | 12/2021 | 09/2024 |
1. 09/14/2022 - Mariner Advisor Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 9/15/2022 2. 10/23/2024 - Transformational Advisory Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 09/09/2024 - 160 Hours Per Month/ 100 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-11-17 |
| S66 | Uniform Combined State Law Examination | 2012-07-18 |
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