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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-12-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Los Angeles | CA | 03/2016 | 11/2016 |
| Wells Fargo Bank | Los Angeles | CA | 03/2016 | 01/2018 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 11/2016 | 01/2018 |
| East West Bank | Beverly Hills | CA | 01/2018 | 05/2019 |
| Cetera Investment Services Llc | St Cloud | MN | 02/2018 | 05/2019 |
| Cetera Investment Advisers Llc | Beverly Hills | CA | 02/2018 | 05/2019 |
| M&T Bank | Buffalo | NY | 06/2019 | 11/2021 |
| M & T Securities, Inc | Los Angeles | CA | 06/2019 | 06/2021 |
| Citigroup | Beverly Hills | CA | 11/2021 | 10/2024 |
| Bmo Harris Bank | Pasadena | CA | 10/2024 | Present |
| Lpl Financial Llc | Pasadena | CA | 12/2024 | Present |
12/09/2024 - BMO Harris Bank - Financial Institution Duty - Investment Related - Los Angeles, CA - 12/02/2024 - Hours per month 160 - Time spent 100 12/09/2024 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Investment Related - At reported locations 12/09/2024 - Mountain Eagle LLC - Real Estate Rental - Investment Related - Beverly Hills, CA - 1/6/2023
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-05 |
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