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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-12-13
  • CA RA
    APPROVED
    Since 2024-12-13

Branch Locations

180 N Moorpark Road, Thousand Oaks, CA 91360 • United States

371 West Esplanade Drive, Oxnard, CA 93036 • United States

3780 State Street, Santa Barbara, CA 93105 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Port Hueneme CA 04/2019 06/2023
Bank Of America, N.A. Port Hueneme CA 04/2019 06/2023
Banc Of California Santa Barbara CA 03/2017 03/2019
Mufg Union Bank Santa Barbara CA 12/2015 03/2017
Bmo Harris Bank Thousand Oaks CA 12/2024 Present
Lpl Financial Thousand Oaks CA 12/2024 Present
Unemployed Oxnard CA 06/2023 12/2024
  • 04/2019 → 06/2023
    Port Hueneme, CA
  • 04/2019 → 06/2023
    Bank Of America, N.A.
    Port Hueneme, CA
  • 03/2017 → 03/2019
    Banc Of California
    Santa Barbara, CA
  • 12/2015 → 03/2017
    Mufg Union Bank
    Santa Barbara, CA
  • 12/2024 → Present
    Bmo Harris Bank
    Thousand Oaks, CA
  • 12/2024 → Present
    Lpl Financial
    Thousand Oaks, CA
  • 06/2023 → 12/2024
    Unemployed
    Oxnard, CA
Previous Registrations
Other Businesses

1 - 12/2024 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-29
  • S66 Uniform Combined State Law Examination
    2020-10-29

View on SEC IAPD

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