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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-12-11 |
Branch Locations
2888 Loker Ave E Ste 316, Carlsbad, CA 92010 • United States
Carlsbad, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc. | Phoenix | AZ | 01/2009 | 12/2019 |
| Lpl Financial | San Diego | CA | 12/2019 | Present |
1)12/11/2019- DBA for LPL Business (entity for LPL business) - DK Financial Inc - INVESTMENT RELATED - CARLSBAD, CA 92010 - Start Date:10/2005 -100%. 2) 10/07/2025 - Healthcare Markets - Investment Related - Non-Variable Insurance - San Diego Ca - Start Date:10/01/2025 - 15 Hrs/Mth - 1 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 1986-12-19 |
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