Katrina Larisa Peck

Current Employers

Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-11-28
CA	RA	APPROVED	2024-11-18
ID	RA	APPROVED	2024-11-18

TX RA
APPROVED_RES

Since 2024-11-28
CA RA
APPROVED

Since 2024-11-18
ID RA
APPROVED

Since 2024-11-18

Branch Locations

Fruitland, ID • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Loring Ward Securities Inc.	San Jose	CA	05/2016	03/2018
Lumity, Inc.	Roseville	CA	03/2018	08/2018
Unemployed	Roseville	CA	08/2018	02/2019
Bank Of The West	Sacramento	CA	02/2019	03/2020
Bancwest Investment Services, Inc.	Sacramento	CA	02/2019	03/2020
First Command	Ft. Worth	TX	03/2020	09/2024
Lpl Enterprise, Llc	Fort Mill	SC	10/2024	Present
Lpl Financial, Llc	Fort Mill	SC	03/2025	Present

05/2016 → 03/2018

Loring Ward Securities Inc.

San Jose, CA
03/2018 → 08/2018

Lumity, Inc.

Roseville, CA
08/2018 → 02/2019

Unemployed

Roseville, CA
02/2019 → 03/2020

Bank Of The West

Sacramento, CA
02/2019 → 03/2020

Bancwest Investment Services, Inc.

Sacramento, CA
03/2020 → 09/2024

First Command

Ft. Worth, TX
10/2024 → Present

Lpl Enterprise, Llc

Fort Mill, SC
03/2025 → Present

Lpl Financial, Llc

Fort Mill, SC

Previous Registrations

2020-04-09 → 2024-10-03

First Command Advisory Services

Fort Worth, TX

Fruitand, ID

Fort Worth, TX
2019-05-13 → 2020-04-07

Bancwest Investment Services, Inc.

Sacramento, CA
2016-05-26 → 2016-05-26

Lwi Financial Inc.

Sacramento, CA

San Jose, CA
2008-03-26 → 2012-11-05

Allworth Financial, L.P.

Sacramento, CA
2008-06-11 → 2010-12-31

Aw Securities

Folsom, CA

Sacramento, CA
2006-05-31 → 2007-08-17

Brecek & Young Advisors, Inc.

Folsom, CA

Folsom, CA

Folsom, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-05-10
S66	Uniform Combined State Law Examination	2006-02-02
S63	Uniform Securities Agent State Law Examination	1996-11-20

S65 Uniform Investment Adviser Law Examination

2019-05-10
S66 Uniform Combined State Law Examination

2006-02-02
S63 Uniform Securities Agent State Law Examination

1996-11-20

Other Names

Katrina Larisa Rush
Katrina Larisa Peck
Katrina Larisa Parks

View on SEC IAPD