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Warren Scott Lowe

LPl Financial LLC

Friant, CA

Fresno, CA

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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 2016-03-03
CA RA APPROVED 2009-09-08
  • TX RA
    APPROVED_RES
    Since 2016-03-03
  • CA RA
    APPROVED
    Since 2009-09-08

Branch Locations

Friant, CA • United States

7461 N. First Street, Ste 104, Fresno, CA 93720 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Valley Wealth Management Fresno CA 01/2009 Present
Lpl Financial Llc Fresno CA 09/2009 Present
  • 01/2009 → Present
    Valley Wealth Management
    Fresno, CA
  • 09/2009 → Present
    Lpl Financial Llc
    Fresno, CA
Previous Registrations
  • 2009-06-17 → 2011-07-07
    Valley Wealth Management
    Fresno, CA
  • 2006-02-03 → 2009-10-13
    Associated Planners Investment Advisory Inc
    Fresno, CA
    Fresno, CA
  • 2008-01-16 → 2009-09-08
    Associated Securities Corp.
    Fresno, CA
    Boston, MA
    Fresno, CA
Other Businesses

1. 3/3/2010: VALLEY WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-24
  • S66 Uniform Combined State Law Examination
    2006-01-24

View on SEC IAPD

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