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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2004-05-28 |
Branch Locations
9340 Fuerte Dr, Ste. 301, La Mesa, CA 91941 • United States
Jamul, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger) | La Mesa | CA | 05/2004 | Present |
1. 6/14/2010: REAL ESTATE RENTAL - I OWN A RESIDENTIAL DUPLEX THAT IS MANAGED BY A PROPERTY MANAGER. THE TENANTS ARE NOT CLIENTS AND I HAVE NO KNOWLEDGE OF THEIR B/D OR RIA RELATIONSHIPS. I HAVE NEVER MET OR CONVERSED WITH THEM. - TIME SPENT 1% - CA. 2. 4/26/2012: DBA ONLY - GAM WEALTH MANAGEMENT 3. 2/9/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Broker - Started 01/11/2021 - 10 Hours Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1987-11-12 |
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