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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-28 |
Branch Locations
100 Smith Ranch Rd Ste 107, San Rafael, CA 94903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mill Valley | CA | 08/2017 | 03/2019 |
| Bj's Restaurants | 7755 Center Ave. Suite 650 | CA | 09/2005 | 08/2017 |
| Bank Of America, N.A. | Mill Valley | CA | 11/2017 | 03/2019 |
| Lpl Financial, Llc | Santa Rosa | CA | 03/2019 | Present |
| Financial Advocates Investment Management | Napa | CA | 05/2023 | 08/2025 |
1. 3/20/2019 - Scarbrough Financial Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/08/2019 - Time Spent 100%. 2. 05/25/2023 - Vintage Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/24/2023 - 8 Hours Per Month/ 5 Hours During Securities Trading 3. 06/05/2023 - Vintage Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date 05/24/2023 - 152 Hours Per Month/ 152 Hours During Securities Trading 4. 06/05/2023 - Financial Advocates Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 05/24/2023 - 152 Hours Per Month/ 152 Hours During Securities Trading - I provide investment advisory services through Financial Advocates Investment Management, an independent investment advisor firm. I started this business activity in 05/2023. I expect to spend approximately 152 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-12-28 |
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