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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-06-23 |
| TX | RA | APPROVED | 2021-06-23 |
Branch Locations
550 Silver Spur Rd Ste 350, Rancho Palos Verdes, CA 90275 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Rolling Hills Estates | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Rolling Hills Estates | CA | 11/2016 | 06/2021 |
| Lpl Financial Llc | Rancho Palos Verdes | CA | 06/2021 | Present |
1) 6/2021- Arise Private Wealth- DBA for LPL Business (entity for LPL business)- Inv. Related- Rancho Palos Verdes, CA - 140 hrs/mth 2) 6/2021- Surf and Sage LLC- Business Entity For Tax/Investment Purposes Only- Inv. Related- Rancho Palos Verdes, CA- 160hrs/mth 3) 6/2021- STEVEN N & MALIA G CARLSEN 1999 REVOCABL- Real Estate Rental- Inv. Related- San Pedro, CA - 1hr/mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-17 |
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