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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-06 |
| TX | RA | APPROVED_RES | 2023-02-10 |
Branch Locations
2945 Townsgate Rd, Suite 200, Westlake Village, CA 91361 • 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 |
|---|---|---|---|---|
| National Planning Corporation | West Lake Village | CA | 02/1999 | 11/2017 |
| Securities America, Inc. | Westlake Village | CA | 11/2017 | 12/2021 |
| Securities America Advisors | Westlake Village | CA | 11/2017 | 12/2021 |
| Lpl Financial Llc | Westlake Village | CA | 12/2021 | Present |
1) 12/2021- Investor's Advantage- DBA for LPL Business (entity for LPL business)- inv. related- Westlake Village, CA 2) 12/2021- John Grace- Non-Variable Insurance- Agent selling Life, Fixed Products, LTC- inv. related- Westlake Village, CA - 30hrs/mth 3) 12/2021- John Grace-Book/Author- Book sales - inv. related- Thousand Oaks, CA- start date 9/2020 4) 3/16/2023 - FITNESS RADIO SHOW - Not Investment Related - Home Based - Other-Radio Show - Host/ founder - Start Date - 09/2020 - 4 Hours Per Month/0 Hours During Securities Trading - Time Spent 1%
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-06-04 |
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