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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2003-09-19 |
Branch Locations
San Marcos, CA • United States
12520 High Bluff Dr. Suite 120, San Diego, CA 92130 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc (F/K/A Linsco/Private Ledger) | Carlsbad | CA | 09/2003 | Present |
(1) 6/13/2011: GAY REEVES FINANCIAL - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). (2) 5/7/2015: EXCLUSIVE INSURANCE AGENCY - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - STARTED 05/01/2015 - 2 HOURS PER MONTH DURING SECURITIES TRADING. (3) 11/17/2015: Overland & Shanahan Wealth Advisors, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 12/12/2015 - 160 Hours Per Month During Securities Trading. (4) 04/11/2023 - HIGH BLUFF PRIVATE WEALTH - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - independent insurance agent - Start Date - 04/05/2023 - 160 Hours Per Month/160 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-08 |
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