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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-01-08 |
| TX | RA | APPROVED_RES | 2020-01-08 |
Branch Locations
2888 Loker Ave E Ste 316, Carlsbad, CA 92010 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc | Carlsbad | CA | 01/2009 | 01/2020 |
| Lpl Financial, Llc | Carlsbad | CA | 01/2020 | Present |
1. 1/8/2020 - Cole Financial Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/2014 - Time Spent 100%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-10 |
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