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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2020-01-23 |
Branch Locations
333 University Ave, Ste 200, Sacramento, CA 95825 • United States
Carmichael, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Sacramento | CA | 06/2008 | Present |
1. 06/14/10 - NON-VARIABLE INSURANCE, OUTSIDE FIXED INSURANCE, LOEL HEUPEL, 5% CA. 2. 1/11/2017 - No Business Name - Investment Related - Manteca, CA - Real Estate Rental - Started 01/01/2017 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 08/11/2017 - Loel G. Heupel - Mosaic Wealth Solutions - Investment Related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - started 08/04/2017 - 160 hours per month, 120 hours during securities trading. 4. 9/19/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Employee Benefits Consultant - Start 09/28/2017 - 2 Hours Per Month/0 Hours During Securities Trading - Group insurance, life insurance, long term care insurance. 5. 9/14/2018 - Loel Heupel Financial Planning 401k - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 01/01/2018 - 1 Hour Per Month/1 Hour During Securities Trading - Company 401k plan.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-17 |
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