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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-02-19 |
| CA | RA | APPROVED | 2020-12-09 |
Branch Locations
3425 American River Drive, Sacramento, CA 95864 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foord, Van Bruggen & Pajak Financial Services | Sacramento | CA | 03/2000 | 06/2021 |
| Lpl Financial Llc | Sacramento | CA | 09/2014 | Present |
1. 1/27/2021 - CalBay Investments, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/1/2021 - 40 Hours Per Month/40 Hours During Securities Trading. 2. 6/29/2021 - CBI2 - DBA: CBI2 LLC - Not Investment Related - Location/Address: n/a - Business Entity For Tax/Investment Purposes Only - Started 05/18/2021 - 1 Hour Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-28 |
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