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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-29 |
| TX | RA | APPROVED | 2025-01-29 |
Branch Locations
2690 Lake Forrest Rd Ste 2F, Tahoe City, CA 96145 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
2690 Lake Forest Rd Ste 2F, Tahoe City, CA 96145 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Burlingame | CA | 04/1995 | 03/2020 |
| Ameriprise Financial Services, Llc | Tahoe City | CA | 03/2020 | 01/2025 |
| Lpl Financial | Tahoe City | CA | 01/2025 | Present |
1)11/12/2024 - Traverse Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-11-17 |
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