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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-26 |
| CA | RA | APPROVED | 2021-04-02 |
Branch Locations
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 |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Redlands | CA | 05/2015 | 11/2016 |
| Wells Fargo Bank, Na | Redlands | CA | 12/2014 | 03/2021 |
| Wells Fargo Clearing Services, Llc | Redlands | CA | 11/2016 | 03/2021 |
| Lpl Financial, Llc | Temecula | CA | 03/2021 | Present |
1. 9/14/2023: SchoolsFirst Investment Services - At reported business location(s) - DBA for LPL Business (entity for LPL business) - Inv. related - start date 2/6/2023; -160hrs/mo.; 8hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-01 |
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