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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-09-30 |
| TX | RA | APPROVED | 2019-09-27 |
Branch Locations
2010 N First Street, Suite 500, San Jose, CA 95131 • United States
846 Blossom Hill Rd, San Jose, CA 95123 • United States
333 W El Camino Real, Sunnyvale, CA 94087 • 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 |
|---|---|---|---|---|
| Technology Credit Union | San Jose | CA | 02/2001 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 11/2010 | 09/2019 |
| Cetera Investment Advisers Llc | San Jose | CA | 01/2014 | 09/2019 |
| Lpl Financial Llc | San Jose | CA | 09/2019 | Present |
1. 08/29/2022 - Tech Investment Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/01/2022 - 40 Hours Per Month/40 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-27 |
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