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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APP_PEND_IARCE | 2026-01-01 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Wells Fargo Bank | El Segundo / Los Angeles | CA | 10/2003 | 12/2021 |
| Wells Fargo Advisors Llc | El Segundo | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | El Segundo | CA | 11/2016 | 12/2021 |
| Unemployed | San Clemente | CA | 01/2022 | 08/2022 |
| Bmo Bank Na | San Clemente | CA | 08/2022 | Present |
| Lpl Financial Llc | San Clemente | CA | 08/2022 | Present |
1) 08/02/2022 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2022 2) 08/02/2022 - BMO Bank NA - Financial Institution Duty - Inv Rel - At Reported Business Location(s) - Start: 08/2022
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-05 |
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