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Current Employers
Hancock Wealth Advisory

400 Corporate Pointe Suite 300, Culver City, CA 90230 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-07-11
  • CA RA
    APPROVED
    Since 2018-07-11

Branch Locations

400 Corporate Pointe Suite 300, Culver City, CA 92030 • United States

Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2001-02-14
  • CA RA
    APPROVED
    Since 2001-02-14

Branch Locations

Los Angeles, CA • United States

400 Corporate Pointe Ste 300, Culver City, CA 90230 • 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
OrganizationCityStateFromTo
Lpl Financial, Llc Los Angeles CA 07/1999 Present
Hancock Wealth Advisory Los Angeles CA 09/2002 Present
Lpl Financial Los Angeles CA 01/2001 Present
Previous Registrations
Other Businesses

1. 10/7/2002: Registered Investment Advisor - HANCOCK WEALTH ADVISORY - RIA - LOS ANGELES, CA. 2. 7/21/2011: NON-VARIABLE INSURANCE - HANCOCK WEALTH ADVISORY - SELLING NON-VARIABLE INSURANCE OUTSIDE OF LPL. - TIME SPENT 5% - LOS ANGELES, CA. 3. 3/11/2013: DBA ONLY - HANCOCK WEALTH ADVISORY - LOS ANGELES, CA. 4. 03/25/2015 - REAL ESTATE RENTAL - TIME SPENT 1 HOUR PER MONTH 0 HOUR DURING TRADING - LOS ANGELES, CA 5. 11/22/2017 - HWA Online - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 12/01/2017 - 4 Hours Per Month/0 During Securities Trading. 6. 10/20/2022 - College AidWorks - Investment Related - At Reported Business Location(s) - Other-business owner - Start Date: 04/15/2016 - 10 Hours Per Month/2 Hours During Securities Trading. 7. 08/19/2025 - Stephanie Hancock Career Coaching - Other - Life Coaching - At Reported Business Location(s) - Not Inv Rel - Start date: 09/01/2025 - 40Hours Per Month/0 During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-10
S63 Uniform Securities Agent State Law Examination 1996-02-05
  • S66 Uniform Combined State Law Examination
    2001-01-10
  • S63 Uniform Securities Agent State Law Examination
    1996-02-05
Designations

View on SEC IAPD

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