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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-12-12 |
| CA | RA | APPROVED | 2009-10-19 |
Branch Locations
283 Main Street, Suite 150, Woodland, CA 95695 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Sacramento | CA | 10/2009 | Present |
(1) 7/11/2013 - BAUTISTA WEALTH MANAGEMENT, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (2) 6/15/2017 - Luis F. Bautista - Investment Related - Woodland, CA - Real Estate Rental - Started 10/15/2009 - 1 Hours Per Month/0 Hours During Securities Trading - 1 single family residence.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-26 |
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