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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-10 |
| NV | RA | APPROVED | 2021-07-06 |
| CA | RA | APPROVED | 2018-05-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Cupertino | CA | 06/2015 | 05/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 07/2015 | 05/2018 |
| Lpl Financial Llc | Sunnyvale | CA | 05/2018 | Present |
1. 5/17/2018 - The Johnny M Oshana & Mera Tawfik Oshana Revocable Trust - Investment Related - Home Based - Act in a Fiduciary Capacity - Co-trustee - Started 06/01/1997 - Time Spent 1% - Family living trust - Co-trustee with husband, Johnny Oshana. 2. 5/17/2018 - Intero - Investment Related - Saratoga, CA - Mortgage/Real Estate Services - Realtor - 10 Hours Per Month During Securities Trading - Time Spent 5% - Real estate services. 3. 5/17/2018 - Vertex Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/15/2018 - 140 Hours Per Month/7 Hours During Securities Trading - Time Spent 80%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-01 |
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