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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-11-29 |
Branch Locations
505 North Tustin Ave Suite 267, Santa Ana, CA 92705 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Agm Enterprises | Whittier | CA | 08/1991 | Present |
| National Planning Corporation | Newport Beach | CA | 04/2003 | 11/2017 |
| Lpl Financial Llc | Santa Ana | CA | 11/2017 | Present |
1. 11/29/2017 - ARA MALAZIAN, UNIVERSITY OF CALIFORNIA IRVINE CA - Not Investment Related - UNIVERSITY OF CALIFORNIA IRVINE CA - Other - Start Date 9/2012 - 16 Hours Per Month - INSTRUCTOR. 2. 11/29/2017 - HERITAGE FINANCIAL - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 4/22/2009 - 40 Hours Per Month/0 Hours During Securities Trading. 3. 11/29/2017 - HYE HEALTH (SUBSIDIARY OF HERITAGE FINANCIAL) - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 4/2009 - 40 Hours Per Month/20 Hours During Securities Trading. 4. 11/29/2017 - CARTWRIGHT ASSOC - Not Investment Related - 424 Arden Pl, Glendale, CA 90204 - Other - Start Date 9/05 - 10 Hours Per Month - Independent Contractor as Appraiser. 5. 8/6/2018 - AGM Enterprises - Not Investment Related - Santa Ana, CA - Other-Consulting - Owner - Start Date: 08/31/1991 - 1 Hour Per Month/0 Hours During Securities Trading - Technology consulting. 6. 03/18/2026 - Ara Malazian - Author - Not Investment Related - Santa Ana, CA - Start Date 12/29/2023 - 1 hour per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-01 |
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