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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| WA | RA | APPROVED | 2024-11-14 |
Branch Locations
4370 La Jolla Village Drive Suite 310, San Diego, CA 92122-1250 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner &Amp; Smith Incorporated | La Jolla | CA | 01/2015 | 12/2016 |
| Inv. Holdings For Philanthropic Fdtns. And Private Clients, Llc | Spring Valley | CA | 07/2018 | 12/2020 |
| Incorporating Ria / Company License | Spring Valley | CA | 01/2017 | 12/2017 |
| Thrivent Investment Management Inc | Minneapolis | MN | 05/2022 | 11/2022 |
| (Risk Management / Estate Planning) Sole Proprietorship | Spring Valley | CA | 01/2018 | 05/2023 |
| Thrivent Financial | Appleton | WI | 05/2022 | 11/2022 |
| Tax &Amp; Financial Group | Newport Beach | CA | 01/2023 | 03/2023 |
| Minnesota Life Insurance Co | St Paul | MN | 01/2023 | 03/2023 |
| Securian Financial Services Inc | St Paul | MN | 01/2023 | 03/2023 |
| Pruco Securities Llc | San Diego | CA | 05/2023 | 11/2024 |
| The Prudential Insurance Company Of America | San Diego | CA | 05/2023 | Present |
| Lpl Enterprise, Llc | San Diego | CA | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-07-06 |
| S66 | Uniform Combined State Law Examination | 2015-05-26 |
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