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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-03-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 11/2012 | 11/2018 |
| Bank Of America, N.A. | San Francisco | CA | 12/2012 | 11/2018 |
| Morgan Stanley | San Francisco | CA | 02/2019 | 11/2019 |
| Unemployed | Walnut Creek | CA | 11/2018 | 02/2019 |
| Lpl Financial Llc | Walnut Creek | CA | 03/2020 | Present |
| Fremont Bank | Walnut Creek | CA | 02/2020 | Present |
1. 5/29/2020 - Fremont Bancorp - DBA: FB Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2020 - 160 Hours Per Month/80 Hours During Securities Trading. 2. 6/15/2020 - FB Financial Services, A Division of Fremont Bank - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-03-30 |
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