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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-10-04 |
| TX | RA | APPROVED_RES | 2022-10-03 |
Branch Locations
20955 Pathfinder Rd Ste 110, Diamond Bar, CA 91765 • United States
Brea, 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 |
|---|---|---|---|---|
| Fsc Securities Corporation | Diamond Bar | CA | 02/1990 | 10/2022 |
| Tag Financial Inc. | Diamond Bar | CA | 04/2000 | Present |
| Lpl Financial Llc | Diamond Bar | CA | 10/2022 | Present |
1)09/21/2022 - The Advisory Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 04/2000 2)09/21/2022 - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 01/1984 3)09/21/2022 - Mortgage/Real Estate Services - Inv Rel - At Reported Business Location(s) - Start: 05/2006 4)09/21/2022 - TAG FINANCIAL, INC. - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s) - Start: 04/2000
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 1985-01-18 |
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