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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-09 |
Branch Locations
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101 • United States
440 E Huntington Dr Ste 300, Arcadia, CA 91006 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Western International Securities, Inc. | Pasadena | CA | 07/1996 | 06/2025 |
| Lpl Financial Llc | Pasadena | CA | 06/2025 | Present |
1. 06/05/2025- Renewal SGV (San Gabriel Presbyterian Church)- Non-profit volunteer (not on board)- Not INV Related- At San Gabriel, CA- Start date 01/01/2023- 10 Hours Per Month 2. 06/05/2025- Arcadia Performing Arts Foundation- Non-Profit Board Member- Not INV Related- At Arcadia, CA- Start date Arcadia- 5 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-27 |
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