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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-28 |
| TX | RA | APPROVED | 2023-08-28 |
Branch Locations
303 Vintage Park Dr Ste 120, Foster City, CA 94404 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dry Ice Hockey Arena | Oakland | CA | 04/2015 | 08/2017 |
| Apex Movement | Concord | CA | 07/2016 | 08/2017 |
| International Research Securities, Inc. | Dallas | TX | 05/2017 | 11/2019 |
| Edward Jones | St Louis | MO | 11/2019 | 08/2023 |
| Lpl Financial Llc | Foster City | CA | 08/2023 | Present |
| Fremont Bank | Fremont | CA | 08/2023 | 07/2024 |
1) 08/2023 - Dry Ice Hockey Arena / Outside/W-2 Employment / scorekeeping, refereeing, bar tending or coaching youth / Not Investment Related / Start date 11/20/2019 - 12 Hrs per month 2) 08/08/2024 - Pacific Wealth Management Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/06/2024 - 160 Hours Per Month/ During Trading 3) 11/01/2024 - Other - Etsy Store - Designer and Creator - Not Investment Related - Home Based - Start Date 10/03/2024 - 40 Hours per month/ 0 Hours During Trading 4) 05/12/2025 - Kathryn Holland, CDFA - Investment Related - Other - CDFA, for non-financial management activit - Home Based - Start Date : 05/12/2025 - 80 Hrs/Mth - 10 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-12-14 |
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