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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-03 |
Branch Locations
5411 Avenida Encinas Suite 180, Carlsbad, CA 92008 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc. | Phoenix | AZ | 01/2009 | 11/2022 |
| Lpl Financial Llc | Carlsbad | CA | 01/2023 | Present |
1-12/2013 / SDTF Insurance Services - Insurance Agency / Insurance Agency / INVESTMENT RELATED / Carlsbad CA 2- 11/2012 / SAN DIEGO TAX & FINANCIAL ASSOCIATES / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / SAN DIEGO CA 3- 01/2010 / Troy Koepplin - Enrolled Agent / Tax Prep/Accounting/CPA / INVESTMENT RELATED / Carlsbad CA 4- 10/2020 / TERRASOL RESORT CABO RENTALS / Real Estate Rental / INVESTMENT RELATED / Carlsbad, CA 5- 07/07/2023 - San Diego Tax Services - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date 06/01/2023 - 80 Hours Per Month/ 30 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-23 |
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