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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 1997-12-31 |
Branch Locations
1 Pointe Dr., Ste 240, Brea, CA 92821 • United States
La Habra, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | La Habra | CA | 11/1995 | Present |
1. 01/25/2002 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance. 2. 10/19/2015 - Cindy Havenhill - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/11/2011 - 160 Hours Per Month During Securities Trading. 3) 07/03/2017-Cindy Havenhill Wealth & Risk Management-Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2010-Hours per month 160/ hours during trading 7
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-09-04 |
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