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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-07-20 |
| CA | RA | APPROVED | 2006-09-29 |
Branch Locations
1720 Capitol Avenue Ste 202, Sacramento, CA 95811-5104 • 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 | 09/2006 | Present |
1. 12/31/2003 - DBA ONLY - WESLEY MAR RETIREMENT PLANNING - DO NOT PAY COMMISSIONS - DBA TAG: WESLEY MAR RETIREMENT PLANNING FOR SACRAMENTO SMALL BUSINESSES. - TIME SPENT 25% - SACRAMENTO, CA. 2. 04/01/2014 - NCOA - NOT INV REL - OTHER-COACH/SPORTS - 1% TIME SPENT - SPORTS OFFICIAL - UMPIRING HIGH SCHOOL AND YOUTH BASEBALL GAMES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 1986-04-25 |
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