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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-07-01 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
1250 Coast Village Rd Ste F,, Santa Barbara, CA 93108 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Montecito | CA | 06/2012 | 06/2026 |
| Lpl Financial Llc | Santa Barbara | CA | 06/2026 | Present |
1. 06/2026 - RIVENROCK WEALTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 130 Hrs During Trading - OBA start date: 7/1/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-29 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-09 |
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