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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2003-08-21 |
| CA | RA | APPROVED | 1997-12-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed | San Carlos | CA | 06/1993 | Present |
| Lpl Financial, Llc | San Carlos | CA | 05/1995 | Present |
1. 2/28/2007 - NON-VARIABLE INSURANCE - EXISTING FIXED TERM LIFE INSURANCE POLICIES ARE SERVICED - SOME OUTSIDE OF LPL. MAY RECEIVE SOME TRAIL INCOME FROM THESE RENEWALS - THOUGH THE AMOUNT IN DOLLARS IS NEGLIGIBLE. - TIME SPENT 1% - SAN CARLOS, CA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-03 |
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