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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Fremont | CA | 05/2004 | 03/2019 |
| Wells Fargo Advisors Llc | Fremont | CA | 08/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Fremont | CA | 11/2016 | 03/2019 |
| Lpl Financial Llc | Palo Alto | CA | 04/2019 | Present |
1)03/28/2019 - CB&T Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2)03/28/2019 - ZB, N.A. (CB&T} - Financial Institution Duty - inv rel- at reported business location(s) - start: 02/2019 3)03/28/2019 - Notary - state of CA - inv rel - start: 03/2019
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-11 |
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