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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
TX RA APPROVED_RES 2010-07-06
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01
  • TX RA
    APPROVED_RES
    Since 2010-07-06

Branch Locations

1141 Division St, Napa, CA 94559 • United States

Benefits Plus, Llc

1141 Division Street, Napa, CA 94559 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

1157 Division Street, Napa, CA 94559 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Benefits Plus Walnut Creek CA 05/1990 Present
Lpl Financial Llc Napa CA 09/2009 Present
Healthcare Compliance Napa CA 01/2013 Present
  • 05/1990 → Present
    Benefits Plus
    Walnut Creek, CA
  • 09/2009 → Present
    Napa, CA
  • 01/2013 → Present
    Healthcare Compliance
    Napa, CA
Previous Registrations
Other Businesses

(1) 12/22/09 - OTHER, DIVISION PRODUCTIONS, OWNER - FILMING OF HISTORIC PROPERTY FOR TV COMMERCIALS, CATALOGS, MOVIES, ETC. - NEGOTIATE USE OF HISTORIC PROPERTY, 1% OF TIME. (2) 05/16/2013 - HEALTHCARE COMPLIANCE, INC. - OTHER-PPACA EMPLOYER GUIDE - PREPARATION, MARKETING AND SALE OF PPACA EMPLOYER GUIDE THROUGH A SEPARATE LEGAL ENTITY, HEALTHCARE COMPLIANCE, INC.\ (3)05/07/2014 - DBA ONLY - BENEFITS PLUS LLC - NAPA, CA (4) 05/07/2014 - BENEFITS PLUS INC (DBA JLM INSUANCE SERVICES) - NON-VARIABLE INSURANCE -SALES AND SERVICING OF NON-VARIABLE INSURANCE PRODUCTS. JANET IS THE PRESIDENT OF BENEFITS PLUS INC. - TIME SPENT 20% - NAPA, CA (5) 05/28/2014 - INVESTMENT ADVISOR REPRESENTATIVE - BENEFITS PLUS LLC - TIME SPENT 20% - NAPA, CA (6) 1/10/2019 - No Business Name - Investment Related - Home Based & Walnut Creek, CA 94595 - Real Estate Rental - Started 01/01/2017 - 1 Hour Per Month/0 Hours During Securities Trading. (7) 1/10/2019 - No Business Name - Investment Related - Home Based & Yountville, CA 94559 - Real Estate Rental - Started 06/01/2006 - 1 Hour Per Month/0 Hours During Securities Trading. (8) 01/10/2023 - Retirement Plan Pioneers - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/01/2022 - 20 Hours Per Month/20 Hours During Securities Trading. (9) 01/10/2023 - rppioneers.com - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/01/2022 - 20 Hours Per Month/20 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-03-23
S63 Uniform Securities Agent State Law Examination 1990-09-06
  • S65 Uniform Investment Adviser Law Examination
    1999-03-23
  • S63 Uniform Securities Agent State Law Examination
    1990-09-06
Designations

View on SEC IAPD

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