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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-11-19
CA RA APPROVED 2007-12-18
  • TX RA
    APPROVED_RES
    Since 2021-11-19
  • CA RA
    APPROVED
    Since 2007-12-18

Branch Locations

El Dorado Hills, CA • United States

2160 Jefferson St Ste 230, Napa, CA 94559 • 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
Linsco/Private Ledger Corp. Napa CA 12/2007 Present
  • 12/2007 → Present
    Linsco/Private Ledger Corp.
    Napa, CA
Previous Registrations
  • 2001-05-15 → 2007-12-18
    Wells Fargo Investments, Llc
    Napa, CA
    Fairfield, CA
    Napa, CA
Other Businesses

1. 12/14/07 - DBA - C&T GROUP, INVESTMENT MANAGEMENT LLC / FIXED INSURANCE, LONG TERM CARE INSURANCE, HEALTH INSURANCE TO COMPLIMENT SECURITIES OFFERINGS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-25
S63 Uniform Securities Agent State Law Examination 1986-04-18
  • S65 Uniform Investment Adviser Law Examination
    1998-02-25
  • S63 Uniform Securities Agent State Law Examination
    1986-04-18

View on SEC IAPD

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