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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-09-22
  • CA RA
    APPROVED
    Since 2022-09-22

Branch Locations

Mammoth Lakes, CA • United States

549 Old Mammoth Rd., Ste. 12, Mammoth Lakes, CA 93546 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
R, R & F Asset Management Mammoth Lakes CA 08/2017 10/2020
Wells Fargo Advisors Financial Network, Llc Saint Louis MO 10/2020 09/2022
Black Tie Ski Rentals Of Mammoth Lakes, Ca Inc Mammoth Lakes CA 08/2009 Present
Lpl Financial Llc Mammoth Lakes CA 09/2022 Present
Previous Registrations
Other Businesses

1) 09/16/2022 - Mammoth Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 09/16/2022 - PLAY BIG OUTDOORS,LLC - Owner - Non-Inv Rel - Mammoth Lakes, CA - Start: 07/2021 3) 09/16/2022 - Kiramercia Industries, LLC - Owner - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Mammoth Lakes, CA 4) 06/14/2023 - Fernlandia LLC - Investment Related - Seaside, CA - Real Estate Rental - Co-Owner - Start Date 06/01/2023 - 1 Hour Per Month/ 0 Hours During Securities Trading 5) 07/17/2023 - Buckeye Fever LLC - Investment Related - Kings Beach, CA - Real Estate Rental - Start Date 05/01/2023 - 1 Hour Per Month/ 0 Hours During Trading 6) 10/13/2023 - Orion Capital - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/10/2023 - 100 Hours Per Month/ 80 Hours During Trading 7) 06/09/2025 - Black Tie Ski Rentals of Mammoth Lakes, CA Inc dba Black Tie Ski & Bike Rentals of Mammoth - Not Investment Related - Other - Reps Business - 501 Old Mammoth Road#9 - Start Date:08/01/2009 - 20 Hours Per Month/ 1 Hours During Trading 8) 12/08/2025-Mammoth Village Properties-Mortgage/Real Estate Services-Inv Related-At California-Start date 01/27/2020-0hrs/mth-0hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-02
  • S66 Uniform Combined State Law Examination
    2021-04-02
Other Names
  • Colin Fernie

View on SEC IAPD

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