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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-07-19
CA RA APPROVED 2023-07-19
NV RA APPROVED 2023-07-19
  • AZ RA
    APPROVED
    Since 2023-07-19
  • CA RA
    APPROVED
    Since 2023-07-19
  • NV RA
    APPROVED
    Since 2023-07-19

Branch Locations

4300 Sonoma Blvd Suite 300, Vallejo, CA 94589 • United States

1001 First St, Benicia, CA 94510 • United States

1333 N. California Blvd. Suite Sl10, Walnut Creek, CA 94596 • United States

1300 Oliver Road, Fairfield, CA 94534 • United States

330 Davis St, Vacaville, CA 95688 • 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
Bank Of The West Vellejo CA 08/2012 Present
Bancwest Investment Services Vallejo CA 08/2012 Present
Lpl Financial Llc Fairfield CA 07/2023 Present
  • 08/2012 → Present
    Bank Of The West
    Vellejo, CA
  • 08/2012 → Present
    Bancwest Investment Services
    Vallejo, CA
  • 07/2023 → Present
    Fairfield, CA
Previous Registrations
  • 2008-04-11 → 2023-07-19
    Bancwest Investment Services, Inc.
    Lodi, CA
    Lockeford, CA
    Stockton, CA
    Lodi, CA
    Vallejo, CA
    Vallejo, CA
    Benicia, CA
    Fairfield, CA
    Fairfield, CA
    Modesto, CA
    Modesto, CA
    Patterson, CA
    Newman, CA
    Oroville, CA
    Chico, CA
    Gridley, CA
    Woodland, CA
    Sacramento, CA
    Oroville, CA
    Woodland, CA
    Vacaville, CA
    Pittsburg, CA
    Antioch, CA
    Fairfield, CA
    Sonoma, CA
    San Ramon, CA
    Dublin, CA
    Oakland, CA
    Oakland, CA
    Forestville, CA
    Danville, CA
    Santa Rosa, CA
    Petaluma, CA
    Concord, CA
    Antioch, CA
    Santa Rosa, CA
    Clearlake, CA
    El Cerrito, CA
    San Leandro, CA
    Walnut Creek, CA
    Oakland, CA
    Berkeley, CA
    Oakley, CA
    Calistoga, CA
    Healdsburg, CA
    San Lorenzo, CA
    Hayward, CA
    Oakland, CA
    Castro Valley, CA
    Pleasanton, CA
    Pinole, CA
    San Leandro, CA
    Lafayette, CA
    Novato, CA
    Livermore, CA
    Brentwood, CA
    Napa, CA
    Rohnert Park, CA
    Clearlake, CA
    Sebastopol, CA
    Berkeley, CA
    Pittsburg, CA
    Hayward, CA
    Saint Helena, CA
    Benicia, CA
    Walnut Creek, CA
    Vallejo, CA
    Omaha, NE
Other Businesses

1) 04/24/2023 - Rental Properties - Investment Related - Mather, CA - Fairfield, CA - Real Estate Rental - Co-Owner - Start Date: 08/15/2013 - 0 Hours Per Month/ 0 Hours During Trading - Time Spent: 0% 2) 04/24/2023 - BMO Investment Services - Investment Related - At Reported Business Locations - DBA for LPL Business (entity for LPL business)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-28
  • S66 Uniform Combined State Law Examination
    2008-02-28

View on SEC IAPD

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