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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-11-23 |
| TX | RA | APPROVED | 2020-11-23 |
Branch Locations
31225 La Baya Dr Ste 202, Westlake Village, CA 91362 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Woodland Hills | CA | 05/2006 | 11/2020 |
| Morgan Stanley Smith Barney | Los Angeles | CA | 06/2009 | 11/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2020 |
| Lpl Financial Llc | Westlake Village | CA | 11/2020 | Present |
1) 11/17/2020 - Prince Private Wealth - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2020 2) 10/04/2021 - HUB Wealth LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 10/23/2020 - 160 Hours Per Month/8 Hours During Securities Trading. 3) 02/24/2022 - J.L.Prince, Inc.- Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 07/19/2021- 1 Hours Per Month/0 Hours During Securities Trading. 4) 07/19/2022 - PBC Private Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Advisor - Start Date - 07/16/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 5) 08/15/2022- BKA & Associates- Investment Related - At Reported Business Location(s) - Non-Variable Insurance- Financial Advisor- Start Date- 08/11/2022- 1 Hours Per Month/ 1 Hours During Securities Trading 6) 08/17/2023 - Orion Capital - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/13/2023 - 240 Hours Per Month/ 240 Hours During Trading 7) 02/23/2024 - Cavalier Associates - Non-Variable Insurance - Financial Advisor - Investment Related - At Reported Business Location(s) - Start Date 02/16/2024 - 1 Hour Per Month/ 1 Hour During Trading 8) 12/27/2024 - PB California - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 10/31/2024 - 1 hour per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-18 |
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