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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-09-30 |
| TX | RA | APPROVED_RES | 2019-09-30 |
Branch Locations
Santa Clara, CA • United States
2010 N First Street, Suite 500, San Jose, CA 95131 • United States
43848 Pacific Commons Blvd., Fremont, CA 94538 • United States
10051 S De Anza Blvd, Cupertino, CA 95014 • United States
360 Cypress Dr, Milpitas, CA 95035 • United States
1562 S Bascom Ave, San Jose, CA 95125 • 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 |
|---|---|---|---|---|
| Technology Credit Union | El Segundo | CA | 08/2010 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 11/2010 | 09/2019 |
| Cetera Investment Advisers Llc | San Jose | CA | 01/2014 | 09/2019 |
| Lpl Financial Llc | San Jose | CA | 09/2019 | Present |
1)08/29/2019 - Real Estate Rental - owner - inv rel - Denver, CO - start: 02/2019 - 1 hr/mth 2)08/29/2022 - Tech Investment Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/01/2022 - 40 Hours Per Month/40 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-10 |
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