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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-10-17
  • CA RA
    APPROVED
    Since 2014-10-17

Branch Locations

2248 Grass Valley Hwy, Auburn, CA 95603 • United States

1701 Santa Clara Dr Ste 120, Roseville, CA 95661 • 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
Lpl Financial Sacrament CA 07/2014 Present
  • 07/2014 → Present
    Lpl Financial
    Sacrament, CA
Other Businesses

1. 08/21/2014-GOLDEN 1 INVESTMENT SERVICES/DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/SACRAMENTO,CA 2) 08/27/2025 - San Juan School District - Not Investment Related - Outside/W-2 Employment - Fair Oaks, CA - Start Date:09/02/2025 - 30 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-10-16
  • S66 Uniform Combined State Law Examination
    2014-10-16

View on SEC IAPD

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