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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-02-19
WA RA APPROVED 2025-02-19
  • CA RA
    APPROVED
    Since 2025-02-19
  • WA RA
    APPROVED
    Since 2025-02-19

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Bellingham, WA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc San Diego CA 04/2007 Present
Other Businesses

1. 12/11/2019 - Active Aging LLC - Not Investment Related - Home Based - Business Owner - Started 12/01/2019 - 2 Hours Per Month/0 Hours During Securities Trading - Assist wife with Retirement Home Newsletter business.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-02-19
S63 Uniform Securities Agent State Law Examination 2006-08-24
  • S66 Uniform Combined State Law Examination
    2025-02-19
  • S63 Uniform Securities Agent State Law Examination
    2006-08-24

View on SEC IAPD

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