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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-01-05 |
Branch Locations
19006 Brookhurst Blvd, Huntington Beach, CA 92646 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Garden Grove | CA | 10/2011 | 09/2016 |
| Wells Fargo Advisors, Llc | Garden Grove | CA | 02/2015 | 09/2016 |
| Mai Chuc Broker | Fountain Valley | CA | 10/2016 | 06/2017 |
| Jp Morgan Securities Llc | Garden Grove | CA | 06/2017 | 06/2021 |
| Jp Morgan Chase Bank | Garden Grove | CA | 06/2017 | 06/2021 |
| Wells Fargo Clearing Services, Llc | Westminster | CA | 06/2021 | 12/2023 |
| Wells Fargo Bank, Na | Westminster | CA | 06/2021 | 12/2023 |
| Lpl Financial | Huntington Beach | CA | 01/2024 | Present |
| Bmo Bank Na | Huntington Beach | CA | 01/2024 | Present |
1) 01/05/2024 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 01/05/2024 - BMO BANK NA - Financial Institution Duty - Senior Premier Relationship Manager - Inv Rel - At Reported Business Location(s) - Start: 01/2024 - 160 Hr/Mth 3) 01/05/2024 - Notary - State of CA - Inv Rel - Start: 01/2024 - 2 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 2015-04-07 |
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