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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-29 |
Branch Locations
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 | Napa | CA | 07/2015 | Present |
| Financial Advocates Investment Management | Napa | CA | 07/2015 | 08/2025 |
1. 7/24/2015: FINANCIAL ADVOCATES INVESTMENT MANAGEMENT - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR HYBRID - START DATE 10/1/2015 - TIME SPENT 50% - IAR - ABLE TO CHARGE AN ADVISORY, FLAT, OR HOURLY FEE. 2. 8/3/2015: VINTAGE WEALTH ADVISORS - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR DBA - STARTED 7/1/2015 - TIME SPENT 100% - IAR. 3. 8/3/2015: VINTAGE WEALTH ADVISORS - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - STARTED 7/1/2015 - TIME SPENT 100%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-10-21 |
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