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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-19 |
| NV | RA | APPROVED | 2023-07-19 |
Branch Locations
599 E Colorado Blvd, Pasadena, CA 91101 • United States
614 N Lone Hill Ave, San Dimas, CA 91773 • United States
1739 E Colorado Blvd, Pasadena, CA 91106 • United States
400 N Glendale Blvd, Glendale, CA 91206 • United States
100 W Sierra Madre Blvd, Sierra Madre, CA 91024 • United States
770 S Citrus Avenue, Covina, CA 91722 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 09/2014 | 06/2017 |
| Wells Fargo Clearing Services | Boise | ID | 06/2017 | 06/2018 |
| Wells Fargo Bank | Boise | ID | 06/2017 | 06/2018 |
| Bancwest Investment Services | Pasadena | CA | 06/2018 | 02/2023 |
| Bmo Bank Na | Pasadena | CA | 06/2018 | Present |
| Lpl Financial Llc | Covina | CA | 07/2023 | Present |
1. 04/25/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 06/29/2023 - BMO BANK NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date 7/19/2023 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-30 |
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