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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-10-31 |
| CA | RA | APPROVED | 2024-10-30 |
Branch Locations
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 |
|---|---|---|---|---|
| Mufg Union Bank | San Diego | CA | 08/2007 | 10/2024 |
| Unionbanc Investments Services | San Diego | CA | 02/2010 | 10/2024 |
| Lpl Financial Llc | San Diego | CA | 10/2024 | Present |
1.10/30/2024; AlvaKirb LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 10/15/2024; hrs/mth; hrs during trading 2.10/30/2024; LM Beckens LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 10/15/2024; hrs/mth; hrs during trading 3.10/30/2024; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Seapoint Wealth Advisors; Investment Related; at Reported Business Location(s); Start Date 10/14/2024; 160hrs/mth; 8hrs during trading 4.08/14/2026; East County Rattlers; Coach/ Sports/ Fitness; Not Investment Related; La Mesa,CA; Start Date 09/01/2026; 15hrs/mth; 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-02 |
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