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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-07-08 |
Branch Locations
1250 Coast Village Rd Ste F, Santa Barbara, CA 93108 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Montecito | CA | 06/2012 | 06/2026 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 06/2026 |
| Lpl Financial Llc | Santa Barbara | CA | 06/2026 | Present |
1. 06/2026 - Cheval Montana, LLC dba Rivenrock lodge - Business Owner - Not Inv Related – 02 Hour(s)/Month – 0 Hour(s) During Trading – Cascade, MT, 59421 – OBA Start Date: 06/01/2025 2. 06/2026 - Gilson LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related – 0 Hour(s)/Month – 0 Hour(s) During Trading – Santa Barbara, CA, 93108 – OBA Start Date: 09/01/1996 3. 06/2026 - Cheval 2 LLC - Real Estate Rental - Not Inv Related – 0 Hour(s)/Month – 0 Hour(s) During Trading – Paso Robles, CA, 93446 – OBA Start Date: 11/01/2016 4. 06/2026 - On the Park, LLC - Real Estate Rental - Inv Related – 1 Hour(s)/Month – 0 Hour(s) During Trading – Paso Robles, CA, 93446 – OBA Start Date: 06/01/2004 5. 06/2026 - Arlington Plaza LLC - Real Estate Rental - Inv Related – 1 Hour(s)/Month – 0 Hour(s) During Trading – Santa Barbara, CA, 93101 – OBA Start Date: 08/01/2004 6. 06/2026 - Gilson Family Limited Partnership - Real Estate Rental - Inv Related – 1 Hour(s)/Month – 0 Hour(s) During Trading – Santa Barbara, CA, 93108 – OBA Start Date: 09/01/1996 7. 06/2026 - Tupac LLC - Real Estate Rental - Inv Related – 1 Hour(s)/Month – 0 Hour(s) During Trading – Paso Robles, CA, 93446 – OBA Start Date: 06/01/2004 8. 06/2026 - RSGilly LLC - Real Estate Rental - Inv Related – 1 Hour(s)/Month – 0 Hour(s) During Trading – Paso Robles, CA, 93446 – OBA Start Date: 12/01/2010 9. 06/2026 - RIVENROCK WEALTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - Inv Related – 200 Hour(s)/Month – 160 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 7/1/2026 10. 06/2026 - Hotel Cheval LLC - Business Owner - Not Inv Related – 4 Hour(s)/Month – 0 Hour(s) During Trading – Paso Robles, CA, 93446 – OBA Start Date: 04/01/2007
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-03-25 |
| S63 | Uniform Securities Agent State Law Examination | 1983-05-11 |
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