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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-05-18 |
Branch Locations
9125 Imperial Hwy Ste A, Downey, CA 90242 • United States
13524 Whittier Blvd, Whittier, CA 90605 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuna Mutual Group | Waverly | IA | 06/2018 | Present |
| Schoolsfirst Federal Credit Union | Tustin | CA | 06/2018 | Present |
| Schoolsfirst Federal Credit Union | Tustin | CA | 04/2006 | 06/2018 |
| Lpl Financial Llc | Downey | CA | 05/2022 | Present |
1) 05-18-2022 - SchoolsFirst FCU - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Member Retirement Advisor - Start Date: 06/2018 - 160 Hours Per Month/160 Hours During Trading - Time Spent 100%. 2) 05-18-2022 - SchoolsFirst Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3) 06-22-2022 - SchoolsFirst Retirement Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 2018-07-30 |
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