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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-06-06
CA RA APPROVED 2017-06-13
  • TX RA
    APPROVED_RES
    Since 2024-06-06
  • CA RA
    APPROVED
    Since 2017-06-13

Branch Locations

16133 Ventura Blvd #700, Encino, CA 91436 • United States

Agoura Hills, CA • 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
Lpl Financial Llc Encino CA 09/2009 Present
Other Businesses

1. 9/23/2010: OTHER BUSINESS NAME: DSA INC / REAL ESTATE SALES / REAL ESTATE BROKER FOR ETHAN STEIN'S & MY OWN PERSONAL TRANSACTIONS / 1% OF TIME / ENCINO, CA. 2. 5/9/2012 - DSA Inc. - 75% TIME SPENT - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) - ENCINO, CA. 3. 08/05/2013 - NON-VARIABLE INSURANCE - VERY LIMITED INSURANCE FOR LIFE PROTECTION... - 1% OF TIME SPENT - ENCINO, CA

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-09-18
  • S63 Uniform Securities Agent State Law Examination
    1984-09-18

View on SEC IAPD

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