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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-18 |
| TX | RA | APPROVED_RES | 2024-03-18 |
Branch Locations
8280 Aspen St. Ste 195, Rancho Cucamonga, CA 91730 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Advisory Services Llc | Monrovia | CA | 01/2015 | 02/2018 |
| Foresters Financial Services | Monrovia | CA | 03/2016 | 01/2017 |
| Foresters Financial Service | Monrovia | CA | 01/2017 | 02/2018 |
| Royal Alliance | Los Angeles | CA | 02/2018 | 03/2024 |
| Lpl Financial Llc | Rancho Cucamonga | CA | 03/2024 | Present |
1) 02/11/2024 - Non-Variable Insurance - Selling: life, LTC, health - Crump - CA 91730 - Investment related - 20 Hours per month - Start date: 3/15/2024. 2) 02/11/2024 - Cognitive Wealth Management (CWM) - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 3) 09/05/2024 - Epiphany Wealth Planning LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 06/20/2024 - 200 Hours Per Month/ 50 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-29 |
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