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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-02-14 |
Branch Locations
3205 Rancho Milagro, Carlsbad, CA 92008 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
Carlsbad, CA • United States
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Carlsbad | CA | 12/2023 | Present |
| Self Employment | Carlsbad | CA | 09/2014 | 12/2023 |
1) 12/19/2023 - JFC Advisor Network - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 12/19/2023 - Engoo - Outside/W-2 Employment - Online English tutor for Japanese students - Singapore 169662 - Non investment related - 8 Hours per month - Start date: 06/21/2023. 3) 12/19/2023 - PTS Group International Ltd. - Outside/W-2 Employment - TRANSLATIONS - Taipei, 114759 - Non investment related - 10 Hours per month - Start date: 08/15/2008. 4) 02/13/2024 - Non-Variable Insurance - Trails Only - Cedar Rapids, IA 52499 - Investment related - Start date: 09/12/2011 - 0 Hours Per Month/ During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-12-19 |
| S65 | Uniform Investment Adviser Law Examination | 2023-12-04 |
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