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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-01-10 |
| CA | RA | APPROVED | 2009-06-23 |
Branch Locations
8343 Church St, Gilroy, CA 95020-4450 • United States
345 5Th Street, Hollister, CA 95023 • 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 |
|---|---|---|---|---|
| Lpl Financial | Morgan Hill | CA | 06/2009 | Present |
1. 9/27/2011: Ellington Financial, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 7/3/2012: Kristi Ellington Financial Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-08 |
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