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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-11-16 |
Branch Locations
2300 Harbor Blvd Ste H-1, Costa Mesa, CA 92626 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kumon | Mission Viejo | CA | 03/2011 | 01/2018 |
| Unemployed | Mission Viejo | CA | 02/2018 | 07/2018 |
| New York Life Insurance Co | Irvine | CA | 08/2018 | 12/2019 |
| Axa Advisors, Llc | New York | NY | 12/2019 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 12/2019 | 12/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Foothill Ranch | CA | 12/2022 | 10/2023 |
| Bank Of America, N.A. | Foothill Ranch | CA | 01/2023 | 10/2023 |
| Lpl Financial Llc | Tustin | CA | 11/2023 | Present |
| Schoolsfirst Federal Credit Union | Tustin | CA | 11/2023 | Present |
1) 11/10/2023 - SchoolsFirst Investment Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 11/10/2023 - Non-Variable Insurance Trails Only - Investment related - Start date: 03/01/2020. 3) 11/10/2023 - Real Estate Rental - Owner - INDIA- 4000706, FL-33432 - Investment related - Start date: 04/01/2023.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 2019-11-11 |
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