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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-05-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | San Diego | CA | 02/1992 | 10/2016 |
| Wells Fargo Advisors, Llc | San Diego | CA | 11/2015 | 10/2016 |
| Mufg Union Bank | San Diego | CA | 10/2016 | 03/2018 |
| Unionbanc Investment Services | San Diego | CA | 11/2016 | 03/2019 |
| Lpl Financial Llc | San Diego | CA | 05/2019 | Present |
| California Bank & Trust (Zions) | San Diego | CA | 05/2019 | Present |
1)05/14/2019 - Zions California Bank & Trust - Financial Institution Duty - inv rel - at reported business location(s) - start: 05/2019 2)05/14/2019 - THE DAVIS FAMILY TRUST - Act in a Fiduciary Capacity - inv rel - Carlsbad, CA - start: 07/2011 3)05/14/2019 - Real Estate Rental - Owner - inv rel - Carlsbad, CA - start: 2004
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-02 |
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