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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-05-22 |
Branch Locations
19230 Stone Oak Parkway Ste 310, San Antonio, TX 78258 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
211 N Loop 1604 E, Suite 165, San Antonio, TX 78232 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | San Antonio | TX | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Antonio | TX | 11/2016 | 06/2018 |
| Sigma Financial Corporation | Ann Arbor | MI | 06/2018 | 05/2023 |
| Spc | Ann Arbor | MI | 06/2018 | 05/2023 |
| Lpl Financial Llc | San Antonio | TX | 05/2023 | Present |
1. 07/02/2023 - Upstream Investement partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 07/02/2023 - Willis Ranch - Not Investment Related - Home Based - Rai, Sing Cattle - Owner - Start Date 1/12/2000 - 40 Hours Per Month - Time Spent 20% 3. 07/02/2023 - Willis Management LLC - Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee - Start Date 01/03/2000 - 20 Hours Per Month - Time Spent 5%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-11 |
| S63 | Uniform Securities Agent State Law Examination | 1981-07-27 |
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