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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-04-15 |
Branch Locations
707 Wilshire Blvd, 57Th Floor, Los Angeles, CA 90017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Union Bank | Los Angeles | CA | 10/2008 | 04/2019 |
| Unionbanc Investment Services | Los Angeles | CA | 10/2011 | 04/2019 |
| Lpl Financial Llc | Los Angeles | CA | 04/2019 | Present |
| California Bank & Trust/Zions | Los Angeles | CA | 04/2019 | Present |
1)04/09/2019 - CB&T Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2)04/09/2019 - California Bank & Trust - Financial Institution Duty - inv rel - at reported business location(s) - start: 04/2015 3)04/09/2019 - National Mortgage Licensing Services - Mortgage/Real Estate Services - inv rel - Canyon Country, CA - start: 01/2016
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 2011-12-02 |
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