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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | La Habra | CA | 05/2008 | 01/2025 |
| Wells Fargo Advisors, Llc | La Habra | CA | 03/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | La Habra | CA | 11/2016 | 01/2025 |
| Lpl Financial Llc | Pasadena | CA | 01/2025 | Present |
| Bmo Harris Bank | Pasadena | CA | 01/2025 | Present |
1) 01/14/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO Investment Services - Inv Rel - At Reported Business Location(s) 2) 01/07/2025 - BMO Harris Bank - Financial Institution Duty - Inv Rel - At Reported Business Location(s) - Start: 01/2024 - 160 Hr/Mth 3) 01/07/2025 - Notary - State of CA - Inv Rel - At Reported Business Location(s) - Start: 07/2015 - 2 Hr/Mth 4) 06/10/2026 - Its My UGC DBA My Pham - Business Owner - Not Investment Related - Pasadena, CA - Start Date 06/09/2026 - 0 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-12 |
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