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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-02-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Fullerton | CA | 12/2013 | 02/2017 |
| Securities America Advisors, Inc. | Fullerton | CA | 12/2013 | 02/2017 |
| Lpl Financial Llc | Alhambra | CA | 02/2017 | Present |
1. 02/17/2017 - WINNIE LEONG ARTWORK/ OTHER - ARTIST/ 2%/ ALHAMBRA, CA 2. 02/17/2017 - INNOVATIVE SOLUTIONS INSURANCE SERVICES, LLC/ NON-VARIABLE INSURANCE/ 18%/ EL SEGUNDO, CA. 3. 6/28/2017 - Edison Risk - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 06/20/2017 - 2 Hours Per Month/1 Hour During Securities Trading. 4. 6/28/2017 - Word & Brown - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 11/01/2015 - 1 Hour Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-07 |
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