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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-04-29
TX	RA	APPROVED	2024-04-26

CA RA
APPROVED

Since 2024-04-29
TX RA
APPROVED

Since 2024-04-26

Branch Locations

Redding, CA • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

1930 West St, Redding, CA 96001 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Redding	CA	02/2015	04/2024
Lpl Financial Llc	Redding	CA	04/2024	Present

02/2015 → 04/2024

Stifel Nicolaus & Co Inc

Redding, CA
04/2024 → Present

Lpl Financial Llc

Redding, CA

Previous Registrations

2015-02-18 → 2024-05-09

Stifel, Nicolaus & Company, Incorporated

Redding, CA
2010-11-01 → 2014-11-18

Wells Fargo Clearing Services, Llc

Redding, CA

Other Businesses

1- 04/26/2024 / Wealth Wise Partners / DBA for LPL Business (entity for LPL Business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 04/26/2024 / North West Pools and Pool Plastering / Business Owner / Not Investment Related / Redding, CA / Start date 01/01/2022 - 0 hrs mth / 0 hours during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-10-29
S63	Uniform Securities Agent State Law Examination	2010-10-08

S65 Uniform Investment Adviser Law Examination

2010-10-29
S63 Uniform Securities Agent State Law Examination

2010-10-08

View on SEC IAPD