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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 |
Branch Locations
2200 N 1St St, Dixon, CA 95620 • United States
2407 Waterman Road, Fairfield, CA 94534 • United States
134 S. Golden State Blvd, Turlock, CA 95380 • United States
1175 Tracy Boulevard, Tracey, CA 95376 • United States
242 South Washington St, Sonora, CA 95370 • United States
230 Main Street, Rio Vista, CA 94571 • United States
234 W. Main Street, Ripon, CA 95366 • United States
20004 Highway 88, Pine Grove, CA 95665 • United States
1376 East F Street, Oakdale, CA 95361 • United States
4204 Dale Road, Modesto, CA 95356 • United States
1302 J. Street, Modesto, CA 95354 • United States
660 N. Mainj Street, Manteca, CA 95336 • United States
120 W. Walnut St., Lodi, CA 95240 • United States
301 E. Miner Avenue, Stockton, CA 95202 • United States
8150 Laguna Boulevard, Elk Grove, CA 95758 • United States
6808 Pacific Avenue, Stockton, CA 95207 • United States
229 S. Main Street, Angels Camp, CA 95222 • United States
6590 Lone Tree Way, Brentwood, CA 94513 • United States
1505 Second St, Napa, CA 94559 • United States
4515 Quail Lakes Drive, Stockton, CA 95207 • United States
338 E Lindsay St, Stockton, CA 95202 • United States
1102 W Kettleman Lane, Lodi, CA 95240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Stockton | CA | 10/2016 | 11/2017 |
| Lpl Financial Llc | Stockton | CA | 11/2017 | Present |
| Bank Of Stockton | Stockton | CA | 11/2017 | Present |
1. 11/29/2017 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Bank of Stockton Investment and Insurance Services - Investment Related - At Reported Business Location(s) - Start Date 10/3/2016 - 170 Hours Per Month/170 Hours During Securities Trading. 2. 5/19/2020 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name INVESTMENT AND INSURANCE SERVICES - Investment Related - At Reported Business Location(s) - Start Date: 03/25/2020 - 160 Hours Per Month/7 Hours During Securities Trading. 3. 10/19/2022 - BANK OF STOCKTON - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 10/03/2016 - 40 Hours Per Month/2 Hours During Securities Trading. 4. 11/18/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Investment & Insurance Services at Bank of Stockton - Investment Related - At Reported Business Location(s) - Start Date 06/05/2025 - 160 hours per month/ 8 hours during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-11-22 |
| S65 | Uniform Investment Adviser Law Examination | 2010-03-01 |
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