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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-01-10 |
| CA | RA | APPROVED | 1999-03-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Orange | CA | 09/1998 | Present |
(1) 03/19/2001 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 1% - INDEPENDENT INSURANCE SALES. (2) 05/02/2011 - PrePaid Legal - At Reported Business Location(s) - Other-Prepaid Legal - Time Spent 2% - Receiving a commission from people who sign up for this service. (3) 6/13/2019 - Romero Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/01/2019 - 40 Hours Per Month During Securities Trading. (4) 12/16/2019 - No Business Name - Investment Related - 2520 N. Santiago Orange, CA - Real Estate Rental - Started 03/13/2020 - 0 Hours Per Month. (5) 9/1/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-14 |
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