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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2017-06-28
  • HI RA
    APPROVED
    Since 2017-06-28

Branch Locations

549 Halemaumau St Ste C1, Honolulu, HI 96821-2150 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Honolulu HI 09/2015 06/2017
Lpl Financial, Llc Honolulu HI 06/2017 Present
  • 09/2015 → 06/2017
    Morgan Stanley Smith Barney Llc
    Honolulu, HI
  • 06/2017 → Present
    Honolulu, HI
Previous Registrations
Other Businesses

1. 06/13/2017 - HONOLULU FINANCIAL PARNTERS, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ HONOLULU, HI 2. 3/29/2021 â?" Honolulu Financial Partners, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 6/27/2017 - 40 Hours Per Month/40 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-31
S63 Uniform Securities Agent State Law Examination 2010-03-02
  • S66 Uniform Combined State Law Examination
    2016-03-31
  • S63 Uniform Securities Agent State Law Examination
    2010-03-02

View on SEC IAPD

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