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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-10-29 |
| TX | RA | APPROVED | 2020-10-29 |
Branch Locations
16870 W Bernardo Dr Ste 330, San Diego, CA 92127 • United States
Poway, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | San Diego | CA | 07/1998 | 01/2017 |
| Nautica Wealth Advisors | San Diego | CA | 02/2011 | Present |
| Cwm, Llc | San Diego | CA | 04/2016 | 10/2020 |
| Cetera Advisor Networks Llc | El Segundo | CA | 01/2017 | 10/2020 |
| Lpl Financial, Llc | San Diego | CA | 10/2020 | Present |
1. 10/29/2021 - NAUTICA WEALTH ADVISORS, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 8/2013 - Time Spent 90%. 2. 9/16/2021 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Notary Public - Started 09/08/2021 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 01/27/2026 - North Coast Repertory Theatre - Other - Finance advisory committee + Board member - Board Member - Not Investment Related - Solana Beach, CA - Start Date 01/01/2026 - 2 hours per month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-20 |
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