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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APP_PEND_IARCE | 2026-01-01 |
| TX | RA | APPROVED | 2024-09-09 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
528 A St, Santa Rosa, CA 95401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services Inc. | Santa Rosa | CA | 01/2017 | 03/2020 |
| Wells Fargo | Santa Rosa | CA | 12/2000 | 01/2017 |
| Ameriprise Financial Services, Llc | Santa Rosa | CA | 03/2020 | 09/2024 |
| Lpl Financial | Santa Rosa | CA | 09/2024 | Present |
1) 07/2024 - Apex Private Wealth Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 2) 07/2024 - BEC Peak Partners, LLC / Real Estate Rental / Owner / Inv. Related / Santa Rosa CA, / Start date 04/01/2020 - 5 HRs per month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-15 |
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