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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-08-22 |
| CA | RA | APPROVED | 2010-09-28 |
Branch Locations
1410 Marsh Street, Suite 1, San Luis Obispo, CA 93401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | San Luis Obispo | CA | 09/2010 | Present |
1. 09/23/2010: DBA ONLY - SLOCUM WEALTH MANAGEMENT - ADMINISTRATIVE ASSISTANT. - SAN LUIS OBISPO, CA. 2. 5/5/2011: OTHER-NOTARY - CERTIFIED NOTARY WITH THE STATE OF CALIFORNIA - 1% OF TIME SPENT
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-19 |
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