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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-04-06 |
| CA | RA | APPROVED | 2012-03-30 |
Branch Locations
230 W Wilshire Ave, Fullerton, CA 92832 • United States
1404 N Azusa Ave, Covina, CA 91722 • United States
470 S. San Vicente Blvd, Los Angeles, CA 90048 • United States
16014 Foothill Blvd, Fontana, CA 92335 • United States
15175 Whittier Blvd, Whittier, CA 90603 • United States
10761 Valley Blvd Ste C, El Monte, CA 91731 • United States
Orange, CA • 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 | La Habra | CA | 03/2012 | Present |
1. 2/20/2018 - Credit Union - DBA: Investment Services located at Credit Union of Southern California - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/01/2017 - 160 Hours Per Month During Securities Trading. 2. 11/07/2019 - DBA:SoCal Wealth Mgmt - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:12/1/2019 - 160 hrs/mo - 160 hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-08 |
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