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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-07-14 |
Branch Locations
1510 Fashion Island Blvd Ste 380, San Mateo, CA 94404 • United States
San Mateo, CA • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network Llc | Palo Alto | CA | 01/2010 | 07/2020 |
| Lpl Financial | San Mateo | CA | 07/2020 | Present |
1)02/2010 - DBA FOR LPL FINANCIAL (ENTITY FOR LPL BUSINESS) - PALO ALTO CAPITAL MANAGEMENT - 100% - INVESTMENT RELATED - SAN MATEO, CA 94404
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1983-08-01 |
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