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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-04-17 |
Branch Locations
18860 Cox Ave, Saratoga, CA 95070 • United States
176 Main Street, Los Altos, CA 94022 • United States
2600 El Camino Real Ste 110, Palo Alto, CA 94306 • United States
900 Veterrans Blvd Suite 100, Redwood City, CA 94063 • United States
701 Santa Cruz Ave Suite Sl10, Menlo Park, CA 94025 • United States
380 S. Mathilda, Sunnyvale, CA 94086 • United States
615 Tasman Dr Suite D, Sunnyvale, CA 94089 • United States
501 Castro St, Mountain View, CA 94041 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | San Jose | CA | 05/2023 | 04/2024 |
| Wells Fargo Bank, Na | San Jose | CA | 04/2012 | 04/2024 |
| Lpl Financial Llc | Milpitas | CA | 04/2024 | Present |
| Bmo Bank Na | Milpitas | CA | 04/2024 | Present |
1) 04/02/2024 - Rental Property - Real Estate Rental - Co-owner - CA 92346 - Investment related - Start date: 07/01/2019. 2) 04/02/2024 - Notary - CA 95035 - Investment related - 1% Time spent - Start date: 03/25/2024. 3) 04/02/2024 - BMO Investment Services - Financial Institution Duty - Premier services Relationship Manager - CA 95035 - Investment related - 160 Hours per month - Start date: 04/01/2024. 4) 04/16/2024 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 2023-08-18 |
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