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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2020-09-30 |
Branch Locations
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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Palm Desert | CA | 08/2011 | 09/2020 |
| City National Bank | Palm Desert | CA | 02/2019 | 09/2020 |
| Lpl Financial, Llc | Palm Desert | CA | 09/2020 | Present |
1. 9/17/2020 - No Business Name - Not Investment Related - Home Based - Other-Drone & Real Estate Photography - Started 1/2020 - 2 Hours Per Month/0 Hours During Securities Trading - Time Spent 1%. 2. 9/17/2020 - iHart Retirement Income Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 8/2020 - Time Spent 90%. 3. 6/7/2021 - iHart Desert Real Estate - Investment Related - At Reported Business Location(s) - Mortgage/Real Estate Services - Started 07/12/2021 - 20 Hours Per Month/1 Hour During Securities Trading - Real Estate Services. Residential Only. 4. 03/26/2024 - The Cheese Shop on El Paseo - Business Owner - Co-Owner/ Vice President - Not Investment Related - 73280 El Paseo, Palm Desert, CA 92260 - Start Date 04/01/2024 - 10 Hours Per Month/ 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-14 |
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