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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-13 |
| TX | RA | APPROVED_RES | 2023-09-13 |
Branch Locations
2311 Shelby Street, Summerland, CA 93067 • United States
31225 La Baya Dr Ste 202, Westlake Village, CA 91362 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Los Angeles | CA | 07/1993 | 09/2023 |
| Morgan Stanley Smith Barney | Los Angeles | CA | 06/2009 | 09/2023 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2023 |
| Lpl Financial Llc | Westlake Village | CA | 09/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
1) 08/22/2023 - Orion Capital - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month 2) 09/202023 - The Francis Group / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month 3) 07/15/2024 - cavalier associates - Non-Variable Insurance - Financial Advisor - Investment Related - At Reported Business Location(s) - Start Date 07/08/2024 - 1 Hour Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-01-25 |
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