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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2023-07-19 |
| CA | RA | APPROVED | 2020-09-01 |
| TX | RA | APPROVED | 2020-09-01 |
| WA | RA | APPROVED | 2020-09-01 |
Branch Locations
3929 Bridgeport Way W Ste 301, University Place, WA 98466 • United States
University Place, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lucia Securities, Llc | San Diego | CA | 05/2015 | 10/2020 |
| Lucia Wealth Services, Llc | San Diego | CA | 05/2015 | 10/2020 |
| Lpl Financial, Llc | San Diego | CA | 09/2020 | Present |
1. 9/1/2020 - LUCIA CAPITAL GROUP - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Start 9/1/2020 - 200 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 10/26/2020 - Westland Financial Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Insurance Agent - Started 10/09/2020 - 5 Hours Per Month/0 Hours During Securities Trading. 3. 1/24/2022 - CAPitalize Your Finances, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/27/2022 - 160 Hours Per Month/5 Hours During Securities Trading. 4. 04/07/2022 - No Business Name - Investment Related - Home Based - Other - Book - Start Date - 05/02/2022- 10 Hours Per Month/0 Hours During Securities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-07-28 |
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