Luke Werner Cummings

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-07-26
CA	RA	APPROVED	2009-05-29

TX RA
APPROVED_RES

Since 2018-07-26
CA RA
APPROVED

Since 2009-05-29

Branch Locations

4636 Watt Ave, North Highlands, CA 95660 • United States

202 Providence Mine Rd Ste 202, Nevada City, CA 95959 • United States

2105 Town Center Plz Ste F100, West Sacramento, CA 95691 • 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

Organization	City	State	From	To
Lpl Financial, Llc	Nevada City	CA	05/2009	Present

05/2009 → Present

Lpl Financial, Llc

Nevada City, CA

Previous Registrations

2008-01-01 → 2009-06-01

Wells Fargo Clearing Services, Llc

Grass Valley, CA

Grass Valley, CA
2005-11-23 → 2008-01-01

A. G. Edwards & Sons, Inc.

Grass Valley, CA

Grass Valley, CA

St. Louis, MO

Other Businesses

1. 10/06/2015 - SAFE Financial Services - INV REL - Address for SAFE should be 4636 Watt Avenue, North Highlands, CA 95660 - DBA for LPL Business (entity for LPL business) - START 06/01/2012 - 30 HOURS PER MONTH, 25 DURING TRADING - Investment services, Advisory services, Insurance products

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-11-22

S66 Uniform Combined State Law Examination

2005-11-22

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews