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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-06-16
CA RA APPROVED 2018-02-14
  • TX RA
    APPROVED_RES
    Since 2022-06-16
  • CA RA
    APPROVED
    Since 2018-02-14

Branch Locations

23741 Calabasas Road, Suite B, Calabasas, CA 91302 • United States

40006 10Th St W, Palmdale, CA 93551 • United States

21520 Victory Blvd, Woodland Hills, CA 91367 • United States

10324 Mason Ave, Chatsworth, CA 91311 • United States

Disclosures

3 disclosure categories 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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Logix Federal Credit Union Woodland CA 12/2000 Present
01/24/2011 Tampa FL 04/2007 Present
Lpl Financial Llc Chatsworth CA 02/2018 Present
  • 12/2000 → Present
    Logix Federal Credit Union
    Woodland, CA
  • 04/2007 → Present
    01/24/2011
    Tampa, FL
  • 02/2018 → Present
    Chatsworth, CA
Previous Registrations
  • 2012-02-02 → 2018-02-14
    Invest Financial Corporation
    Chatsworth, CA
    Simi Valley, CA
    Woodland Hills, CA
    Appleton, WI
Other Businesses

1. 02/14/2018 - LOGIX FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 12/4/2000. 2. 09/03/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:02/14/2018 - 0 hrs/mo - 0 hrs during trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-01-30
S63 Uniform Securities Agent State Law Examination 1994-07-12
  • S66 Uniform Combined State Law Examination
    2012-01-30
  • S63 Uniform Securities Agent State Law Examination
    1994-07-12

View on SEC IAPD

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