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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2026-05-20 |
| CA | RA | APPROVED | 2021-12-15 |
| TX | RA | APPROVED | 2021-12-15 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
13215 Penn St Suite 327, Whittier, CA 90602 • United States
13215 Penn St Suite 327, Whittier, CA 90602 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Whittier | CA | 05/2009 | 10/2017 |
| Securities America, Inc. | Whittier | CA | 10/2017 | 12/2021 |
| Securities America Advisors | Whittier | CA | 10/2017 | 12/2021 |
| Lpl Financial, Llc | Whittier | CA | 12/2021 | Present |
1) 12/2021 - DBA for LPL Business (entity for LPL business) / Elite Financial Network / Investment Related / Huntington Beach, CA 92649 2) 1992 - Non-Variable Insurance / Alpha & Omega Financial Solutions / Investment Related / 10Hrs/Mo During Trading / Whittier, CA 90602 3) 2009 - DBA for LPL Business (entity for LPL business) / Alpha & Omega Financial Solutions / Investment Related / Whittier, CA 90602 4) 1998 - Other-Paralegal / Citadel / Investment Related / 5Hrs/Mo 0Hrs/Mo During Trading / Whittier, CA 90602
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-25 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-27 |
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