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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-11-29 |
| IL | RA | APPROVED | 2017-11-29 |
Branch Locations
12377 Lewis St Ste 102, Garden Grove, CA 92840 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J. Anthony Pena Ea, Cfp | Garden Grove | CA | 05/1975 | Present |
| National Planning Corporation | Santa Monica | CA | 05/2013 | 11/2017 |
| Lpl Financial Llc | Garden Grove | CA | 11/2017 | Present |
1. 11/29/2017 - No Business Name - Not Investment Related - Real Estate Rental - Office space rental. 2. 11/29/2017 - J. Anthony Pena - EA, CFP - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner - 260 Hours Per Month/108 During Securities Trading - Ind partnership/corp fiduciary tax returns and bookkeeping, reconciliation.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-01-04 |
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