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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2023-08-21 |
| UT | RA | APPROVED | 2021-02-18 |
| TX | RA | APPROVED | 2019-03-28 |
| CA | RA | APPROVED | 2018-02-14 |
Branch Locations
169 W 2710 S Cir Ste 201E, St George, UT 84790 • United States
444 West Ocean Blvd Suite 800, Long Beach, CA 90802 • United States
Bozeman, MT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii Investments | Long Beach | CA | 08/2016 | 02/2018 |
| Lpl Financial Llc | Long Beach | CA | 02/2018 | Present |
1. 02/14/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Insurance Agency - Owner - Start Date 1995 - 2 Hours Per Month. 2. 08/29/2023 - Capital Investment Advisers, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/01/2023 - 150 Hours Per Month/ 120 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-09 |
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