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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-10-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith | Menlo Park | CA | 02/2013 | 10/2017 |
| Lpl Financial Llc | Fremont | CA | 10/2017 | Present |
| Fremont Bank | Freemont | CA | 10/2017 | Present |
1.10/22/2019; None; Act in a Fiduciary Capacity; Investment Related; Fremont,CA; Start Date 05/13/2019; 1hrs/mth; 1hrs during trading 2.12/11/2019; Investment products and services are offered through LPL Financial LLC using the DBA/trade name FB Investment Services; Investment Related; at Reported Business Location(s); Start Date 01/01/2020; 87hrs/mth; 6hrs during trading 3.03/31/2021; None; Other - Notary; Not Investment Related; Fremont,CA; Start Date 03/29/2021; 1hrs/mth; 1hrs during trading 4.08/31/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name The Harrison Group, FB Investment Services; Investment Related; at Reported Business Location(s); Start Date 09/01/2026; 5hrs/mth; 2hrs during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-07-26 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-17 |
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