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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
TX RA APPROVED 2022-02-02
  • CA RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED
    Since 2022-02-02

Branch Locations

La Mesa, CA • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Independent Capital Management San Diego CA 04/2014 10/2021
Sagepoint Financial Phoenix AZ 04/2014 10/2021
Lpl Financial, Llc La Mesa CA 10/2021 Present
Icm Lending Mission Viejo CA 07/2014 Present
  • 04/2014 → 10/2021
    Independent Capital Management
    San Diego, CA
  • 04/2014 → 10/2021
    Sagepoint Financial
    Phoenix, AZ
  • 10/2021 → Present
    La Mesa, CA
  • 07/2014 → Present
    Icm Lending
    Mission Viejo, CA
Previous Registrations
  • 2016-03-22 → 2021-10-29
    Osaic Services, Inc.
    San Diego, CA
Other Businesses

1.10/28/2021; ICM LENDING; Outside/W-2 Employment; Not Investment Related; 27281 LAS RAMBLAS ST #130,MISSION; Start Date 10/28/2021; hrs/mth; hrs during trading 2.08/18/2023; KJB Financial Services LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 08/17/2023; 40hrs/mth; 20hrs during trading 3.05/26/2026; KJB Financial Services; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 04/01/2026; 5hrs/mth; 5hrs during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-25
S63 Uniform Securities Agent State Law Examination 2014-07-09
  • S66 Uniform Combined State Law Examination
    2016-02-25
  • S63 Uniform Securities Agent State Law Examination
    2014-07-09

View on SEC IAPD

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