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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2021-07-21 |
| AR | RA | APPROVED | 2021-07-21 |
| CA | RA | APPROVED | 2021-07-21 |
| CO | RA | APPROVED | 2021-07-21 |
| DC | RA | APPROVED | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| IL | RA | APPROVED | 2021-07-21 |
| KS | RA | APPROVED | 2021-07-21 |
| KY | RA | APPROVED | 2021-07-21 |
| ME | RA | APPROVED | 2021-07-21 |
| MD | RA | APPROVED | 2021-07-21 |
| MN | RA | APPROVED | 2021-07-21 |
| MO | RA | APPROVED | 2021-07-21 |
| MT | RA | APPROVED | 2021-07-21 |
| NV | RA | APPROVED | 2021-07-21 |
| NC | RA | APPROVED | 2021-07-21 |
| OH | RA | APPROVED | 2021-07-21 |
| SC | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED | 2021-07-21 |
| VA | RA | APPROVED | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
| WI | RA | APPROVED | 2021-07-21 |
| WY | RA | APPROVED | 2021-07-21 |
Branch Locations
9635 Granite Ridge Dr, Ste 100, San Diego, CA 92123 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc | Santa Monica | CA | 11/2012 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Santa Monica | CA | 11/2012 | 07/2021 |
| Ayso | Santa Monica | CA | 09/1975 | 07/2021 |
| Peter B Fink | Santa Monica | CA | 08/1990 | 07/2021 |
| Skluth Trust | Santa Monica | CA | 06/2005 | 07/2021 |
| Lumena Financial Strategies, Inc | San Diego | CA | 09/2018 | 07/2021 |
| Board Of Governors, City Of Hope | Duarte | CA | 01/1997 | 07/2021 |
| Lpl Financial Llc | Santa Monica | CA | 07/2021 | Present |
1. 9/1975-PRESENT, AYSO, SANTA MONICA, CA, SOCCER, REFEREE/INSTRUCTOR, INV-RELATED:N, 12 HRS/MO, 0 HRS/DAY DURING SEC TRADING HRS. 2. 6/2005-PRESENT, SKLUTH TRUST, SANTA MONICA, CA, TRUST, TRUSTEE, INV-RELATED:Y, 5 HRS/MO, 0 HRS/DAY DURING SEC TRADING HRS. 3. 11/2012-PRESENT, VARIOUS INSURANCE CARRIERS FOR W&R INSURANCE AGENCIES, SANTA MONICA, CA, INSURANCE SALES, INSURANCE AGENT, INVESTMENT RELATED. 4. 09/2018-PRESENT; LUMENA FINANCIAL STRATEGIES INC; SAN DIEGO, CA; INVESTMENT RELATED; MARKETS & SUPPORTS RR'S INDEPENDENT PRACTICE; N/A; 160HRS/MO; 130HRS/MO DURING SECURITY TRADING HOURS. 5. 01/1997-PRESENT, BOARD OF GOVERNORS, CITY OF HOPE, HOSPITAL, DUARTE, CA; INVESTMENT RELATED: NO; MEMBER OF THE BOARD OF GOVERNORS; NUMBER OF HOURS MONTHLY: 0, SECURITIES TRADING HOURS: 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 1979-07-10 |
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