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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-22 |
Branch Locations
15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ucla Health | Los Angeles | CA | 02/2020 | Present |
| Unemployed | Los Angeles | CA | 05/2019 | 02/2020 |
| Cedars-Sinai Medical Center | Los Angeles | CA | 09/2016 | 05/2019 |
| Unemployed | Los Angeles | CA | 06/2016 | 09/2016 |
| Lpl Enterprise Llc | Sherman Oaks | CA | 09/2025 | Present |
1. 09/18/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - West Covina, CA - Start Date 09/17/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 09/18/2025 - FRANK SUN N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - West Covina, CA - Start Date 09/17/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 09/18/2025 - UCLA Health - Outside/W-2 Employment - NOT INV REL - Los Angeles, CA - Start Date 02/17/2020 - 160 HRS/MO | 130 HRS/MO DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2024-12-21 |
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