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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-03-22 |
| CA | RA | APPROVED | 2009-09-08 |
Branch Locations
1400 N. Dutton Ave Suite 3, Santa Rosa, CA 95401-0000 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Self | Santa Rosa | CA | 07/1979 | Present |
| Lpl Financial Llc | Santa Rosa | CA | 09/2009 | Present |
1. 10/4/2010: NO BUSINESS NAME - REAL ESTATE RENTAL - INV REL - AT REPORTED BUSINESS LOCATION - THERE ARE 7 RENTAL PROPERTIES. NONE OF THEM ARE RENTED TO CLIENTS OR OTHER ADVISORS. 6 OF THE PROPERTIES ARE SF HOMES ONE IS AN OFFICE BUILDING/SUITE. THEIR ADDRESSES ARE: 1220 YUBA DR., SANTA ROSA, CA; 3729 HILLARY CT., SANTA ROSA, CA; 90 VALE ST. - TIME SPENT 2%. 2. 10/13/2010: NO BUSINESS NAME - REAL ESTATE RENTAL - INV REL - AT REPORTED BUSINESS LOCATION - I HAVE A TAX PREPARER WHO RENTS AN OFFICE FROM ME - TIME SPENT 1%. 3. 3/21/2012: NO BUSINESS NAME - DBA for LPL Business (entity for LPL business) - WALSVICK FINANCIAL & TAX SERVICES - INV REL - AT REPORTED BUSINESS LOCATION - BASIC TAX PREP - TIME SPENT 1%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-03-06 |
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