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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
Branch Locations
15060 Ventura Blvd Ste 200, Sherman Oaks, CA 91403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Financial | Pasadena | CA | 04/2014 | 02/2018 |
| Prudential Insurance Company Of America | Los Angeles | CA | 02/2018 | 12/2018 |
| Pruco Securities, Llc | Los Angeles | CA | 02/2018 | 12/2018 |
| Waddell & Reed, Inc. | Sherman Oaks | CA | 12/2018 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Newbury Park | CA | 12/2018 | 07/2021 |
| Tori Samuel | Sherman Oaks | CA | 12/2018 | Present |
| Lpl Financial Llc | Sherman Oaks | CA | 07/2021 | 07/2021 |
1)08/21/2021 - Cognitive Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 10/2019
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 2013-10-12 |
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