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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2011-04-04 |
Branch Locations
99 Almaden Blvd #925, San Jose, CA 95113 • United States
Fair Oaks, CA • United States
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | San Jose | CA | 04/2011 | Present |
1. 09/11/2015 - Sequoia Wealth Advisors & Investment Management Inc. - INV REL - 99 Almaden Blvd STE # 925, San Jose Ca 95113 - DBA for LPL Business (entity for LPL business) - START 09/01/2015 - 180 HOUR PER MONTH, 7 DURING TRADING - Only used for LPL business, no one other the the OSJ Kristina Kuprina (C4XB) has an interest. 2. 1/9/2017 - No Business Name - Investment Related - Aptos, CA & Huntsville, AL - Real Estate Rental - Start 01/31/2017 - 1 Hour Per Month/0 Hours During Securities Trading - Single family residence - OBQ ID # 1144669. 3. 1/9/2017 - No Business Name - Investment Related - Aptos, CA & Huntsville, AL - Real Estate Rental - Start 01/31/2017 - 1 Hour Per Month/0 Hours During Securities Trading - Single family residence - OBQ ID # 1144667. 4. 3/1/2017 - No Business Name - Investment Related - Huntsville, AL - Real Estate Rental - Started 02/20/2017 - 1 Hour Per Month/0 Hours During Securities Trading - Single family residence. 5. 3/2/2017 - No Business Name - Investment Related - Aptos, CA & Huntsville, AL - Real Estate Rental - Started 01/31/2017 - 1 Hour Per Month/0 Hours During Securities Trading - Apt building.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-02 |
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