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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-07 |
| TX | RA | APPROVED_RES | 2019-12-13 |
Branch Locations
2831 Camino Del Rio S Ste 101, San Diego, CA 92108-3827 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc. | Phoenix | AZ | 10/2008 | 12/2019 |
| Lpl Financial, Llc | San Diego | CA | 12/2019 | Present |
1) 4/1/2021 - Ricci Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/1/2021 - 240 Hours Per Month/240 Hours During Securities Trading. 2) 10/17/2022 - Anthony P Ricci - Not Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 04/01/1980 - 80 Hours Per Month/2 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-02 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-27 |
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