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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED | 2025-07-10 |
Branch Locations
100 Madison Street Suite 1300, Syracuse, NY 13202 • United States
3031 Tisch Way 110 Plaza West, San Jose, CA 95128 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | San Jose | CA | 04/2014 | 02/2024 |
| Jp Morgan Chase Bank Na | San Jose | CA | 04/2014 | 02/2024 |
| Cadaret, Grant & Co., Inc. | San Jose | CA | 02/2024 | 07/2025 |
| Lpl Financial Llc | San Jose | CA | 07/2025 | Present |
1. 07/10/2025- Simeon Marquez Family Financial LLC- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 02/12/2024- 180 Hours Per Month- 180 Hours During Trading 2. 07/10/2025- Nexpoint- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 04/15/2024- 80 Hours Per Month- 80 Hours During Trading 3. 07/10/2025- Cypress Wealth Management- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 02/12/2024- 180 Hours Per Month- 180 Hours During Trading 4. 07/10/2025- Exclusive Insurance Brokerage- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 03/22/2024- 180 Hours Per Month- 180 Hours During Trading 5. 07/10/2025- Sage Planning Solutions- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 02/12/2024- 180 Hours Per Month- 180 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 2006-07-11 |
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