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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Union Bank | Concord | CA | 05/2010 | 06/2017 |
| Unionbanc Investment Services | Concord | CA | 07/2010 | 06/2017 |
| Bank Of San Francisco | San Francisco | CA | 06/2017 | 06/2020 |
| New York Life Insurance Co | San Francisco | CA | 09/2020 | 01/2023 |
| Nylife Securities Llc | San Francisco | CA | 03/2021 | 01/2023 |
| Lpl Financial Llc | Napa | CA | 03/2026 | Present |
| Bmo Harris Bank | Napa | CA | 03/2026 | Present |
| Equis Financial | Napa | CA | 01/2023 | 03/2026 |
1. 03/2026 - Michael OShea - Real Estate Rental - Inv Related - 1 Hour(s)/Month - 0 Hour(s) During Trading - Vallejo, CA, 94591 - OBA Start Date: 10/01/2023 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 : 03/2026 3. 03/2026 - BMO Bank - Financial Institution Duty - Inv Related - 160 Hour(s)/Month - 130 Hour(s) During Trading - Napa, CA, 94558 - OBA Start Date: 03/10/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 2021-08-09 |
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