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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-02-25 |
| CA | RA | APPROVED | 2009-11-16 |
| UT | RA | APPROVED | 2009-11-16 |
Branch Locations
7461 N. First Street, Ste 104, Fresno, CA 93720 • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | Fresno | CA | 09/2009 | Present |
1. 12/21/09 - NON-VARIABLE INSURANCE, I CURRENTLY RECEIVE RENEWAL COMP IN THESE AREAS. I MAY ALSO SELL THESE PRODUCTS IN THE FUTURE OUTSIDE OF LPL INSURANCE. 1% OF TIME SPENT. 2. 1/30/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/03/2018 - 2 Hours Per Month/0 Hours During Securities Trading - Long Term Care. 3. 07/23/2024 - Valley Wealth Management, Inc. - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 1/1/2020 - 40 Hrs/Mo During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-28 |
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