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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-05-27 |
| TX | RA | APPROVED | 2025-05-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell And Reed, Inc. | Sacramento | CA | 10/2010 | 03/2018 |
| Various Insurance Carriers For W & R Insurance Agencies | Sacramento | CA | 12/2010 | 03/2018 |
| Securities America, Inc. | Folsom | CA | 03/2018 | 06/2024 |
| Securities America Advisors | Folsom | CA | 03/2018 | 06/2024 |
| Iron Point Advisors | Folsom | CA | 03/2018 | 05/2025 |
| Osaic Wealth, Inc. | Folsom | CA | 06/2024 | 05/2025 |
| Osaic Wealth, Inc. | Folsom | CA | 06/2024 | 05/2025 |
| Lpl Financial | Folsom | CA | 05/2025 | Present |
1) 05/27/2025 - Aptos Financial Planners - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:05/12/2025 - 160 Hrs/Mth - 60 Hrs During Trading. 2) 05/27/2025 - OG Wealth Management, Inc - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start Date 10/10/2023 - 5 hours per month/ 0 hours during trading 3) 05/27/2025 - Olga Garton - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start Date 03/04/2011 - 10 hours per month/ 0 hours during trading 4) 09/25/2025- OG Wealth Management, Inc- Business Entity For Tax/Investment Purposes Only- Not INV Related- At Reported Business Location(s)- Start date 09/20/2019- 160 Hours Per Month- 160 Hours During Trading 5) 09/16/2025- OG Wealth Management, Inc- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 2011-07-28 |
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