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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-19 |
Branch Locations
9000 E Valley Blvd, Rosemead, CA 91770 • United States
19005 Colima Rd, Rowland Heights, CA 91748 • United States
331 N Atlantic Blvd, Monterey Park, CA 91754 • United States
Rowland Heightsc, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | Upland | CA | 04/2015 | 08/2017 |
| Unemployed | Rowland Heights | CA | 08/2017 | 08/2018 |
| Bank Of The West | Pasadena | CA | 08/2018 | Present |
| Bancwest Investment Services, Inc. | Pasadena | CA | 08/2018 | Present |
| Lpl Financial Llc | Pasadena | CA | 07/2023 | Present |
1. 05/09/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-10-06 |
| S63 | Uniform Securities Agent State Law Examination | 2011-08-10 |
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