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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2017-11-29 |
| CA | RA | APPROVED | 2017-11-29 |
| CO | RA | APPROVED | 2017-11-29 |
| NV | RA | APPROVED | 2017-11-29 |
| NM | RA | APPROVED | 2017-11-29 |
| PA | RA | APPROVED | 2017-11-29 |
| TX | RA | APPROVED_RES | 2017-11-29 |
| UT | RA | APPROVED | 2017-11-29 |
| WI | RA | APPROVED | 2017-11-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | San Marcos | CA | 06/1999 | 11/2017 |
| Lpl Financial Llc | San Marcos | CA | 11/2017 | Present |
| Pacific Financial Group | San Marcos | CA | 06/2019 | Present |
1. 10/24/2017 - Pacific Tax & Financial Group - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - CEO/Owner - Start Date 9/1995 - 160 Hours Per Month / 160 Hours During Trading - 75% Time Spent. 2. 10/24/2017 - Amigos Westside Investments - Not Investment Related - Valencia, CA - Real Estate Rental - Investor/General Partner - Start Date 2015/1/1 - 0% Time Spent. 3. 10/24/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - 80 Hours Per Month / 80 Hours During Trading. 4. 10/24/2017 - Hat-Trick Holdings, LLC - Not Investment Related - 955 Boardwalk Ste 203 San Marcos CA 92078 - Real Estate Rental - Owner - Start Date 3/2009. 5. 01/12/2018 - Park Place South Maintenance Association - Not Investment Related - At Reported Business Location(s) - For-Profit Board Member - President - Start Date 12/20/2017 - 2 Hours Per Month/2 Hours During Securities Trading. 6. 11/19/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance--Trails Only - Started 10/26/2018 - 0 Hours Per Month - AGENT ON A FINANCIAL CLIENT'S ALREADY EXISTING POLICY AT NATIONAL LIFE GROUP. 7. 2/1/2019 - PACIFIC FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2019 - 100 Hours Per Month During Securities Trading. 8. 09/03/2021 - No Business Name - Investment Related - OLIVE BRANCH, MS - Real Estate Rental - Start Date: 12/27/2018 - 0 Hours Per Month/0 Hours During Securities Trading - RESIDIENTIAL RENTAL HOME. 9) 01/13/2025 - Investment Related -Non-Variable Insurance - At Reported Business Location(s) - Start Date:02/01/2025 - 2 Hrs/Mth - 2 Hrs During Trading. 10. 09/26/2025 - Pacific Tax & Financial Group - Tax Prep/Accounting/CPA - Inv rel - At Reported Business Location(s) - Start Date:09/01/1995 - 200 Hrs/Mth - 100 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-28 |
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