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3 Lagoon Drive Suite 110, Redwood Shores, CA 94065 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 1999-08-02 |
Branch Locations
3 Lagoon Drive Suite 110, Redwood City, CA 94065 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Redwood City | CA | 12/1998 | Present |
| Navigation Group, Inc. | Redwood City | CA | 03/2000 | Present |
(1) 8/18/1999 APPOINTED WITH VARIOUS INSURANCE AGENCIES. (2) 08/13/1999 - RIA - NAVIGATION GROUP, INC. 15% OF TIME - REDWOOD CITY, CA (3) 08/26/2013 - DBA ONLY - NAVIGATION GROUP, INC - REDWOOD CITY, CA. (4) 6/6/2017 - Navigation Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 06/01/2016 - 160 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Navigation Group, an independent investment advisor firm. I started this business activity on 6/5/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-11-18 |
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