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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2019-11-13 |
| CA | RA | APPROVED | 2019-07-31 |
| TX | RA | APPROVED_RES | 2019-07-31 |
Branch Locations
8939 S Sepulveda Blvd Ste 304, Los Angeles, CA 90045 • United States
Midway, UT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| D.A. Davidson & Co. | Encino | CA | 11/2013 | 07/2019 |
| Lpl Financial | San Diego | CA | 07/2019 | Present |
1)07/2019 - DBA for LPL Business (entity for LPL business) - LUCENT ELM FINANCIAL GROUP - 100% - INVESTMENT RELATED - TORRANCE, CA 90503 2) 05/19/2022 - Lucent Elm Wealth Management, INC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/01/2022- 160 Hours Per Month/ 130 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-23 |
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