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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
1 - 12/2024 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-10-29 |
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