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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-06-05 |
Branch Locations
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101 • United States
Pasadena, 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Beverly Hills | CA | 09/1994 | 07/2022 |
| Western International Securities, Inc. | Pasadena | CA | 08/2022 | 06/2025 |
| Lpl Financial Llc | Pasadena | CA | 06/2025 | Present |
1- 06/2025 - Warehouse - Real Estate Rental - Owner - Investment Related - Los Angeles, CA - Start Date 09/01/2000 - 1 hour per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-02 |
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