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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-17 |
| AZ | RA | APPROVED | 2017-11-29 |
| CA | RA | APPROVED | 2017-11-29 |
| PA | RA | APPROVED | 2017-11-29 |
Branch Locations
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 |
|---|---|---|---|---|
| Stout & Waner | Redlands | CA | 02/1991 | 11/2017 |
| National Planning Corporation | Redlands | CA | 06/2003 | 11/2017 |
| Lpl Financial Llc | Redlands | CA | 11/2017 | Present |
1. 10/16/2017 - San Bernardino County Employees' Retirement Assn. (SBcera) - Not Investment Related - 348 W. Hospitality Lane, 3rd Floor, San Bernardino CA 92415 - Non-Profit Board Member - Chair of Board - Start Date 12/10/2010 - 10 Hours Per Month / 4 Hours During Trading. 2. 11/29/2017 - Stout, Payne, Waner - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 6/1/2010 - 0 Hours Per Month/0 Hours During Trading. 3. 4/19/2017 - San Bernardino County Employees' Retirement Assn. (SBcera) - Investment Related - 348 W. Hospitality Lane, 3rd Floor, San Bernardino, CA 92415 - Other-Politics/Government - Chair Investment Committee - Start Date 12/10/2010 - 1 Hours Per Month/0 Hours During Trading. 4. 4/19/2017 - San Bernardino County Employees' Retirement Assn. (SBcera) - Investment Related - 348 W. Hospitality Lane, 3rd Floor, San Bernardino, CA 92415 - Other-Politics/Government - Member-Audit Committee - Start Date 12/10/2010 - 1 Hours Per Month/0 Hours During Trading 5. 06/21/2023 - Matson Waner Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/26/2023 - 0 Hours Per Month/ During Securities Trading 6. 07/01/2024 - Neal Waner for SB County School Board 2024 - Other - Running for public office - Not Investment Related - At Reported Business Location(s) - Start Date 03/28/2024 - 20 Hours Per Month/ 2 Hours During Trading 7. 08/06/2024 - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start Date 04/01/2024 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 1987-11-13 |
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