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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-09-17 |
| CA | RA | APPROVED | 2025-08-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Capital Management Llc | Palo Alto | CA | 07/2016 | 04/2018 |
| E*Trade Securities Llc | Palo Alto | CA | 07/2016 | 04/2018 |
| Lpl Financial, Llc | Napa | CA | 04/2018 | Present |
| Financial Advocates Investment Management | Napa | CA | 04/2018 | 08/2025 |
1. 4/3/2018 - VINTAGE WEALTH ADVISORS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 4/2/2018 - 140 Hours Per Month/7 Hours During Securities Trading - Time Spent 80%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 2006-07-08 |
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