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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-10 |
Branch Locations
4400 Macarthur Blvd Ste 100, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank | Laguna Niguel | CA | 03/2014 | 06/2017 |
| Jp Morgan Securities, Llc | Laguna Niguel | CA | 03/2014 | 06/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 07/2019 | 07/2026 |
| Wells Fargo Bank N.A. | Charlotte | NC | 06/2017 | 07/2019 |
| Lpl Financial Llc | Newport Beach | CA | 08/2026 | Present |
| Bmo Bank Na | Newport Beach | CA | 07/2026 | Present |
1. 8/2026 - N5352D LLC - Business Owner - INV REL - 0 Hour(s)/Month – 0 Hour(s) During Trading - Costa Mesa CA 92626 - OBA Start date: 07/01/2024 2. Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO Investment Services - Inv Rel - At Reported Business Location (s) - Start Date: 8/2026 3. 8/2026 - BMO Bank - Financial Institution Duty - INV REL - 160 Hour(s)/Month – 130 Hour(s) During Trading - Newport Beach CA 92660 - OBA Start date: 07/29/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-15 |
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