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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of The West | Sierra Mardre | CA | 07/2016 | 06/2018 |
| Bancwest Investment Services, Inc. | Pasadena | CA | 06/2018 | 07/2023 |
| Lpl Financial Llc | Los Angeles | CA | 07/2023 | Present |
| Bmo Bank Na | Los Angeles | CA | 07/2023 | Present |
1) 05/02/2023 - BMO Bank NA - Investment Related - At Reported Business Locations - Financial Institution Duty - Manager - Start Date: 07/19/2023 - 160 Hours Per Month/8 Hours During Trading - Time Spent: 100% 2) 05/02/2023 - BMO Investment Services - Investment Related - At Reported Business Locations - DBA for LPL Business (entity for LPL business)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-01-06 |
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