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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-03 |
| TX | RA | APPROVED | 2023-10-03 |
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 |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Lodi | CA | 03/2015 | 06/2018 |
| Jpmorgan Chase Bank | Lodi | CA | 08/2010 | 06/2018 |
| Wells Fargo Clearing Services, Llc | Stockton | CA | 06/2018 | 09/2023 |
| Lpl Financial Llc | North Highlands | CA | 10/2023 | Present |
| Safe Credit Union | North Highlands | CA | 10/2023 | Present |
1) 09/2023 - Safe Financial Services / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s 2) 09/2023 - SAFE CREDIT UNION / Notary / Inv. Related / North Highlands, CA / Start date 10/02/2023 - 2 Hrs per month - 10% Time Spent
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-05-19 |
| S65 | Uniform Investment Adviser Law Examination | 2021-03-08 |
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