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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-08-13 |
| CA | RA | APPROVED | 2002-05-14 |
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Novato | CA | 05/2002 | Present |
(1) 7/6/2009 - DBA ONLY - VALLEY OAK WEALTH MANAGEMENT - LIFE, DISABILITY, LTC, FIXED ANNUITIES. - NOVATO, CA. (2) 8/7/2012 - NON-VARIABLE INSURANCE - SELLING LTC, DISABILITY AND FIXED INSURANCE ON MY OWN. - TIME SPENT 8% - NOVATO, CA. (3) 01/10/2013: VALLEY OAK WEALTH MANAGEMENT INSURANCE SERVICES / NON-VARIABLE INSURANCE / TIME SPENT 10%/ NOVATO, CA (4) 10/15/2015 - Valley Oak Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - start 01/24/2014 - 60 Hours Per Month/25 Hours During Securities Trading. (5) 4/1/2016 - Valley Oak Tax Advantage - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start 04/18/2016 - 3 Hours Per Month/0 Hours During Securities Trading. (6) 8/17/2020 - 2Ranch Drive LLC - Investment Related - 2 Ranch Drive, Novato, CA 94945 - Real Estate Rental - Started 04/01/2020 - 0 Hours Per Month - Our offices are located in this building plus there are additional offices we will be renting out. (7) 08/31/2021 - No Business Name - Investment Related - Santa Rosa, CA 95401 - Real Estate Rental - Start Date: 08/03/2021 - 0 Hours Per Month/0 Hours During Securities Trading - Own rental house in Santa Rosa with sister and brother in law.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1998-12-23 |
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