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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-09-08 |
Branch Locations
140 10Th Street, Ste 20, Marina, CA 93933 • United States
3333 Clares St, Capitola, CA 95010 • United States
1524 N Main Street, Salinas, CA 93901 • United States
420 River Street, Santa Cruz, CA 95060 • United States
1481 Main Street, Watsonville, CA 95076 • United States
2028 Freedom Boulevard, Freedom, CA 95019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Santa Cruz | CA | 10/2011 | 09/2020 |
| Jp Morgan Chase Bank | Chicago | IL | 05/2013 | 09/2020 |
| Bay Federal Credit Union | Capitola | CA | 09/2020 | Present |
| Lpl Financial Llc | Capitola | CA | 09/2020 | Present |
1)9/4/2020- Investment Services at Bay Federal Credit Union-DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)- 100% 2) 06/20/2023 - Owner/Landlord- Rental Property - Investment Related - Ben Lomond, CA - Real Estate Rental - Start Date 09/04/2020 - 4 Hours Per Month/ 0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 2009-12-15 |
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