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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-03-04
CA RA APPROVED 2022-05-25
  • TX RA
    APPROVED
    Since 2024-03-04
  • CA RA
    APPROVED
    Since 2022-05-25

Branch Locations

3510 Unocal Pl, Suite 300, Santa Rosa, CA 95403 • United States

Santa Rosa, CA • 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 Llc Santa Rosa CA 12/2021 Present
Vintage Wine Estates Sonoma CA 03/2021 09/2021
Vml Winery Santa Rosa CA 08/2020 10/2020
Zoomcare Portland OR 12/2015 07/2020
Unemployed Santa Rosa CA 11/2020 03/2021
  • 12/2021 → Present
    Santa Rosa, CA
  • 03/2021 → 09/2021
    Vintage Wine Estates
    Sonoma, CA
  • 08/2020 → 10/2020
    Vml Winery
    Santa Rosa, CA
  • 12/2015 → 07/2020
    Zoomcare
    Portland, OR
  • 11/2020 → 03/2021
    Unemployed
    Santa Rosa, CA
Other Businesses

1. 09/20/2022 - Trent Wealth Management of LPL - Investment Related - At Reported Business Location(s) - Other - other - branding purposes only - Start Date - 12/08/2021 - 160 Hours Per Month/160 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-23
  • S66 Uniform Combined State Law Examination
    2022-05-23

View on SEC IAPD

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