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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-07 |
| CA | RA | APPROVED | 2007-08-31 |
Branch Locations
7770 College Town Dr, Sacramento, CA 95826 • United States
515 La Sierra Drive, Sacramento, CA 95864 • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | Sacramento | CA | 08/2007 | Present |
(1) 8/30/2007: Golden 1 Credit Union - Financial Institution Duty - INV REL - AT REPORTED BUSINESS LOCATION - Meet w/ CU members and refer them back to CU staff for traditional CU products - 5% TIME SPENT. (2) 8/30/2007: Golden 1 Investment Services - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1991-03-04 |
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