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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-22 |
Branch Locations
701 N Haven Ave Suite 350, Ontario, CA 91764 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | La Canada | CA | 01/2011 | 11/2016 |
| Wells Fargo Bank, N.A. | La Canada | CA | 08/2004 | 10/2017 |
| Wells Fargo Clearing Services, Llc | La Canada | CA | 11/2016 | 10/2017 |
| Citizens Business Bank | Ontario | CA | 10/2017 | Present |
| Lpl Financial Llc | Ontario | CA | 10/2017 | 04/2025 |
| Lpl Financial Llc | Ontario | CA | 06/2025 | Present |
1 - 06/2025 - NOTARY - Not Inv Related - 1 Hour/Month - 1 Hour During Trading - Ontario, CA - OBA Start Date: 02/01/2009. 2 - 06/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Citizens Trust Investment Services - Inv Related - 160 Hours/Month - 160 Hours During Trading. 3 - 06/2025 - Citizens Business Bank - Financial Institution Duty - Inv Related - 160 Hours/Month - 160 Hours During Trading - Ontario, CA - OBA Start Date: 10/16/2017.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-15 |
| S65 | Uniform Investment Adviser Law Examination | 1998-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-20 |
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