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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-29 |
| TX | RA | APPROVED | 2018-04-12 |
Branch Locations
311 Main St Ste 14, Seal Beach, CA 90740 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential | Irvine | CA | 09/2016 | 10/2017 |
| Kestra Financial, Inc. | Irvine | CA | 10/2017 | 10/2017 |
| Sii Invesments, Inc. | Long Beach | CA | 10/2017 | 02/2018 |
| Lpl Financial Llc | Long Beach | CA | 02/2018 | Present |
| Better Planning Better Life Inc. | Seal Beach | CA | 08/2026 | Present |
1. 9/12/2018 - Capital Investment Advisers - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/1999 - 40 Hours Per Month/40 Hours During Securities Trading. 2. 7/29/2020 - Cavalier Associates - Not Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 7/6/2020 - 1 Hour Per Month/1 Hour During Securities Trading - Term life and disability insurance business. 3. 10/21/2021 - Simplicity - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 08/14/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 4. 04/11/2023 - Better Planning Better Life, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 04/17/2023 - 200 Hours Per Month/ 200 Hours During Securities Trading 5) 02/04/2025 - City of Seal Beach - Not Investment Related - Other - Instructor - At Reported Business Location(s) - Start Date:03/11/2025 - 4 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-13 |
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