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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-12-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sorrento Pacific Financial, Llc | San Diego | CA | 09/2011 | 11/2018 |
| Lincoln Financial Advisors | Santa Rosa | CA | 11/2018 | 12/2024 |
| Lpl Financial | Santa Rosa | CA | 12/2024 | Present |
1- 11/2024 / Frost Financial / DBA for LPL Business (entity for LPL business) / Investment Related / 200 hrs mth / 8 hrs during trading / At reported business location(s) 2- 11/2024 / WEST COUNTY NET INC / For-Profit Board Member / Not Investment Related / 1 hr mth / 0 hrs during trading / Santa Rosa, CA / Start date: 01/01/2017 3 - 11/2024 / Real Estate Rental / Real Estate Rental / Investment Related / 1 hr mth / 0 hrs during trading / Santa Rosa, CA / Start date: 09/01/2020
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-06-04 |
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