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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Chico | CA | 06/2021 | 08/2022 |
| Unemployed | Chico | CA | 06/2018 | 06/2021 |
| The Printed Image | Chico | CA | 03/2013 | 06/2018 |
| Securities America, Inc. | Chico | CA | 08/2022 | 06/2024 |
| Osaic Wealth, Inc. | Chico | CA | 06/2024 | 11/2024 |
| Osaic Wealth, Inc. | Chico | CA | 06/2024 | 11/2024 |
| Lpl Financial Llc | Chico | CA | 11/2024 | Present |
1- 11/2024 / Prosperity Investment Management, Inc. / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 40 hrs during trading / At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 2023-09-16 |
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