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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-02-16 |
| CA | RA | APPROVED | 2021-06-23 |
Branch Locations
550 Silver Spur Rd Ste 350, Rancho Palos Verdes, CA 90275 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
550 Silver Spur Rd Ste 350, Rolling Hills Estates, CA 90275 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Rolling Hills Estates | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Rolling Hills Estates | CA | 11/2016 | 06/2021 |
| Lpl Financial | Rolling Hills Estates | CA | 06/2021 | Present |
1) 6/2021 - DBA for LPL Business (entity for LPL business) - Arise Private Wealth - Investment Related - 100% - Rolling Hills Estates, CA 90275 2) 3/2014 - Real Estate Rental - Katherine & Mitchell Holcomb - Investment Related - 1343 14th St San Pedro, CA 90732- 3909
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-02 |
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