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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-03 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
701 Palomar Airport Road, Suite 300, Space 47, Carlsbad, CA 92011 • United States
701 Palomar Airport Road Suite 300, Space 47, Carlsbad, CA 92011 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Suzanne C De Graw / Degraw Tax Services | Carlsbad | CA | 02/1989 | Present |
| Wfg | San Diego | CA | 03/2005 | 11/2025 |
| Transamerica Financial Advisors, Inc | San Diego | CA | 01/2012 | 11/2016 |
| Independent Financial Group | Carlsbad | CA | 11/2016 | 11/2025 |
| Lpl Financial | Carlsbad | CA | 11/2025 | Present |
1. 10/2025 - MORRIS WEALTH MANAGEMENT INC - DBA for LPL Business (entity for LPL business) - Investment Related - 15 Hrs/Mth - 5 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 11/03/2025 2. 10/2025 - SUZANNE C DEGRAW/DEGRAW TAX SERVICES - Tax Prep/Accounting/CPA - Investment Related - 135 Hrs/Mth - 2 Hrs During Trading - Carlsbad, CA 92008 - OBA Start Date: 09/01/1988
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 2005-10-27 |
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