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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-07-07
CA RA APPROVED 2014-08-05
  • TX RA
    APPROVED_RES
    Since 2020-07-07
  • CA RA
    APPROVED
    Since 2014-08-05

Branch Locations

4636 Watt Ave, North Highlands, CA 95660 • United States

Shingle Springs, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financail Sacramento CA 07/2014 Present
Safe Credit Union Rocklin CA 07/2014 Present
  • 07/2014 → Present
    Lpl Financail
    Sacramento, CA
  • 07/2014 → Present
    Safe Credit Union
    Rocklin, CA
Previous Registrations
  • 2008-05-09 → 2014-08-04
    Folsom, CA
  • 2007-04-02 → 2008-05-13
    Morgan Stanley & Co. Llc
    Folsom, CA
  • 1998-11-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Folsom, CA
    Shingle Springs, CA
Other Businesses

(1) 09/25/2014 - SAFE FINANCIAL SERVICES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME SPENT 160 HOURS PER MONTH - ROCKLIN, CA (2) 04/24/2015 - POLE VAULT COACH - NOT INV REL - START 04/01/15 - COACH (3) 11/10/2015 * High School * Other - Coach * NOT INV REL * 1200 Jacob Lane, Carmichael, CA * START 01/01/2016 * 24 HRS/MO NOT DURING SECS TRDG HRS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-10-03
  • S63 Uniform Securities Agent State Law Examination
    1985-10-03

View on SEC IAPD

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