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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-03-27 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Griffin | CA | 02/2014 | 05/2020 |
| Wells Fargo Clearing Services Llc | Griffin | CA | 08/2017 | 05/2020 |
| U.S. Bancorp Investments, Inc. | Santa Rosa | CA | 07/2022 | 10/2024 |
| U.S. Bank | Santa Rosa | CA | 09/2021 | 10/2024 |
| Exchange Bank | Santa Rosa | CA | 06/2021 | 09/2021 |
| Westamerica Bank | Calistoga | CA | 08/2020 | 06/2021 |
| Unemployed | Windsor | CA | 06/2020 | 07/2020 |
| Lpl Financial Llc | Rohnert Park | CA | 10/2024 | Present |
| Bmo Harris Bank | Rohnert Park | CA | 10/2024 | Present |
1- 08/2024 / Mary Kay / Other / Not Investment Related / 5 hrs mth / WINDSOR, CA / Start date: 04/07/2020 2- 08/2024 / BMO Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 3- 08/2024 / Notary / Notary / Investment Related / 5 hrs mth / 1 hr during trading / Start date: 02/02/2023 4- 08/2024 / BMO HARRIS BANK / Financial Institution Duty / Investment Related / 160 hrs mth / 8 hrs during trading / Rohnert Park, CA / Start date: 09/09/2024
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-03-25 |
| S63 | Uniform Securities Agent State Law Examination | 2022-10-05 |
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