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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-03-23 |
| CA | RA | APPROVED | 2007-03-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Santa Ana | CA | 03/2007 | Present |
1. 4/19/2011: AMERIESTATE LEGAL PLAN, INC. - PREPAID LEGAL PLAN - 5% OF TIME SPENT - THIS IS A PREPAID LEGAL PLAN FOR ESTATE PLANNING AND/OR ASSET PROTECTION. MY ROLE IS TO EXPLAIN THE BENEFITS, COLLECT THE NECESSARY INFORMATION AND PASS THIS ON TO AMERIESTATE FOR THEIR ATTORNEYS. 2. 05/30/2013: TRI-CIRCLE FINANCIAL AND INSURANCE SERVICES - 1633 E. 4TH ST STE 216, SANTA ANA, CA 92701 - NON-VARIABLE INSURANCE DBA: TRI-CIRCLE FINANCIAL AND INSURANCE SERVICES - 10% OF TIME SPENT - PARTNER 3. 08/14/2013: FUDOSHIN AIKIDO CENTER - AIKIDO DOJO - 5% OF TIME SPENT - FOUNDER AND CHIEF INSTRUCTOR OF FUDOSHIN AIKIDO CENTER (FORMERLY: ORANGE COUNTY AIKIDO CLUB). MARTIAL ARTS TRAINING AND INSTRUCTION. 4. 05/13/2014: TRI-CIRCLE FINANCIAL STRATEGIES - NON-VARIABLE INSURANCE DBA: TRI-CIRCLE FINANCIAL STRATEGIES - 10% OF TIME SPENT - PARTNER 5. 01/12/2015: SUCCESSION STRATEGIES, INC. - INV REL - 1633 E. 4TH STREET, SUITE 216, SANTA ANA, CA 92701 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - START 01/01/2015 - 2 HR/MO NONE DURING SECS TRDG HRS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-03 |
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