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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED | 2024-03-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc | Folsom | CA | 09/2012 | 03/2024 |
| Securities America Advisor, Inc. | Folsom | CA | 09/2012 | 03/2024 |
| Lpll Financial Llc | Folsom | CA | 03/2024 | Present |
| Baasch Industries Inc Dba Koi Tax Service | Folsom | CA | 07/2014 | Present |
1- 03/2024 / DWAINE ENTERPRISES / Business Entity For Tax/Investment Purposes Only / Not Investment Related / 160 hrs mth / 8 hrs during trading / Start date: 03/08/2024 2- 03/2024 / Koi Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / 120 hrs mth / 4 hrs during trading / At reported business location(s) 3- 03/2024 / Koi Tax Services / Tax Prep/Accounting/CPA / Investment Related / 160 hrs mth / 8 hrs during trading / Start date: 01/01/2012 4- 03/2024 / BAASCH INDUSTRIES INC. / Business Entity For Tax/Investment Purposes Only / Not Investment Related / 160 hrs mth / 3 hrs during trading / Start date: 01/01/2016 5- 03/2024 / HHYU / Non-Variable Insurance / Investment Related / Start date: 01/01/2015
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-01-18 |
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