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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-14 |
| TX | RA | APPROVED | 2023-10-03 |
Branch Locations
2262 Carmel Valley Rd, Del Mar, CA 92014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Russell Investments | Tacoma | WA | 09/2010 | 01/2021 |
| Planmember Securities | Carpinteria | CA | 02/2021 | 10/2023 |
| Calpro Network Financial Services | San Diego | CA | 02/2021 | 10/2023 |
| Lpl Financial Llc | San Diego | CA | 10/2023 | Present |
1) 08/07/2023 - Seapoint Wealth Advisors LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 08/07/2023 - Swell Wealth Management - Business Entity For Tax/Investment Purposes Only - S corporation - Noninvestment related - 160 Hours per month - Start date: 3/1/2021. 3) 10/03/2023 - The Warter Group by Seapoint Wealth Advisors LLC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 160 Hrs per month/ 40 Hours During Trading 4) 04/02/2026 - Golden Days Getaways - Real Estate Rental - Investment Related - Palm Desert, CA - Start Date 01/01/2026 - 5 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-08 |
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