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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2020-01-08 |
Branch Locations
51 East Campbell Ave., Ste 124, Campbell, CA 95008 • United States
51 East Campbell Ave. Suite 124, Campbell, CA 95008 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
51 East Campbell Ave. Suite 124, Campbell, CA 95008 • United States
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Campbell | CA | 01/2010 | Present |
| Clearbridge Financial Llc (Dba: Clearbridge Financial) | Campbell | CA | 05/2017 | Present |
1. 01/11/2010: NON-VARIABLE INSURANCE - SELL FIXED LIFE, HEALTH, AND LTC INSURANCE. - TIME SPENT 10% - CAMPBELL, CA. 2. 08/23/2017 - Basic Tax Prep - Investment Related - Los Gatos, CA - Start Date 01/01/2017 - 4 hours per month/ 1 hour during trading 3. 6/10/2020 - No Business Name - non-Investment Related - Los Gatos, CA 95032 - Real Estate Rental - 1 Hour Per Month/0 Hours During Securities Trading - Renting residence. 4. 11/15/2023 - ClearBridge Financial LLC - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start Date 03/23/2020 - 1 hour per month/ 0 hours during trading 5. 11/15/2023 - ClearBridge Financial LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/20/2017 - 120 hours per month/ 5 hours during trading 6. 06/09/2026 - ClearBridge Financial LLC / ClearBridge Financial - Registered Investment Advisor - Investment Related - At Reported Business Location(s) - Start Date 01/01/2020 - 15 hours per month/ 2 hours during trading - I provide financial planning and consulting services through ClearBridge Financial LLC, an independent investment advisor firm. I started this business activity in 01/2020. I expect to spend approximately 15 hours per month on this activity. Please see the Form ADV for the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-01-08 |
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