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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-19 |
Branch Locations
1590 Hamilton Ave, San Jose, CA 95125 • United States
3081 Mckee Rd, San Jose, CA 95127-1835 • United States
1566 Monterey St Suite 30, San Jose, CA 95110 • United States
San Jose, CA • United States
1360 E. Calaveras Blvd, Milpitas, CA 95035 • 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 |
|---|---|---|---|---|
| Bancwest Investment Services | San Jose | CA | 03/1999 | Present |
| Lpl Financial Llc | San Jose | CA | 07/2023 | Present |
1) 05/03/2023 - BMO Investment Services - Investment Related - At Reported Business Locations - DBA for LPL Business (entity for LPL business) 2) 05/03/2023 - Civil Service Commission City Government - Not Investment Related - San Jose, CA - Outside/W-2 Employment - Start Date: 04/01/2022 - 1 Hour Per Month/0 During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1984-10-31 |
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