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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-12-15 |
| TX | RA | APPROVED | 2021-12-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Whittier | CA | 05/2009 | 10/2017 |
| Securities America, Inc. | Whittier | CA | 10/2017 | 12/2021 |
| Securities America Advisors | Whittier | CA | 10/2017 | 12/2021 |
| Lpl Financial, Llc | Whittier | CA | 12/2021 | Present |
| California State University, Fullerton | Fullerton | CA | 08/2018 | Present |
1) 2018 - Other- Teaching / California State University, Fullerton / Not Investment Related / 20Hrs/Mo / Fullerton, CA 92831 2) 1998 - Other- Paralegal / Citadel / Investment Related / 5Hrs/Mo / Whittier, CA 90602 3) 1990 - Non-Variable Insurance / Alpha & Omega Financial Solutions / Investment Related / 5HRs/Mo / Whittier, CA 90602 4) 2009 - DBA for LPL Business (entity for LPL business) / Alpha & Omega Financial Solutions / Investment Related / Whittier, CA 90602 5) 2005 - Other- Notary / Kevin Gotts / Investment Related / 1Hr/Mo / Whittier, CA 90602 6) 12/15/2021 - Elite Financial Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1992.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 1990-07-10 |
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