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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-03-16 |
| CA | RA | APPROVED | 2002-03-25 |
Branch Locations
2221 Camino Del Rio S Ste 307, San Diego, CA 92108-3611 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | La Mesa | CA | 08/2001 | Present |
(1) 10/27/2016: Lori Hoddy - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start 10/01/2016 - 0 Hr/Mo - office space renting to an Attorney. (2) 7/31/2017: Hillside Professional HOA - Not Investment Related - 2221 Camino del rio south, San Diego, CA 92108 - Non-Profit Board Member - Started 05/27/2014 - 2 Hours Per Month/1 Hour During Securities Trading. (3) 1/28/2021 - Trax Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/21/2021 - 160 Hours Per Month/160 Hours During Securities Trading. 4) 04/17/2025 - None - Investment Related - Real Estate Rental - At Reported Business Location(s) - Start Date: 04/28/2025 - Real Estate Rental - 0 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-14 |
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