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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-12-19 |
| TX | RA | APPROVED | 2022-08-04 |
Branch Locations
4645 N 32Nd Street, Suite A-100, Phoenix, AZ 85018-3389 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
4645 N 32Nd Street, Ste A-100, Phoenix, AZ 85018 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Chandler | AZ | 03/2012 | 04/2022 |
| Wells Fargo Advisors Llc | Tucson | AZ | 01/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chandler | AZ | 11/2016 | 04/2022 |
| Notre Dame Credit Union | Phoenix | AZ | 08/2022 | Present |
| Lpl Financial | Phoenix | AZ | 08/2022 | Present |
| N/A | Chandler | AZ | 05/2022 | 07/2022 |
1- 08/2022 / Private Member Group / DBA for LPL Business (entity for LPL business) / Investment Related / PHOENIX, AZ 2- 02/2020 / Notary / Gilbert Harris / Investment Related / PHOENIX, AZ 3-09/23/2022 - E4 Insurance and our Shamrock Insurance Agency - Investment Related - 111 West Edison Rd Mishawaka, IN 46545 - Non-Variable Insurance - Financial Consultant - Start Date - 09/21/2022 - 10 Hours Per Month/10 Hours During Securities Trading 4-11/01/2022 - Mission Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 12/05/2022 - 160 Hours Per Month/7 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-13 |
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