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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-06-05 |
| TX | RA | APPROVED_RES | 2025-06-05 |
Branch Locations
9301 Corbin Ave Ste 1800, Northridge, CA 91324 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Capital Management | San Diego | CA | 08/2018 | 01/2019 |
| Sagepoint Financial, Inc. | San Diego | CA | 08/2018 | 01/2019 |
| Liberty University | Lynchburg | VA | 08/2015 | 05/2018 |
| The Salvation Army | San Diego | CA | 11/2014 | 07/2018 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 02/2019 | 11/2022 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 04/2019 | 11/2022 |
| Western International Securities, Inc. | Pasadena | CA | 11/2022 | 06/2025 |
| Lpl Financial Llc | Northridge | CA | 06/2025 | Present |
1- 06/2025 - Sphera Financial - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 06/06/2025 - 8 hours per month/ 4 hours during trading 2- 06/2025 - Sphera Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/06/2025 - 160 hours per month/ 160 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 2018-08-31 |
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