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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-19 |
Branch Locations
18022 Culver Drive, Irvine, CA 92612 • United States
4400 Macarthur Blvd Ste 100, Newport Beach, CA 92660 • United States
1330 S Beach Blvd, Unit A, La Habra, CA 90631 • United States
3021 Yorba Linda Blvd Suite 120, Fullerton, CA 92831 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Westminster | CA | 09/2006 | 04/2022 |
| Wells Fargo Advisors Llc | Westminster | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Fountain Valley | CA | 11/2016 | 04/2022 |
| Bmo Bank Na | Newport Beach | CA | 04/2022 | Present |
| Lpl Financial Llc | Irvine | CA | 07/2023 | Present |
1. 04/28/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Notary - Start Date 2/1/2023 - 20 Hours Per Month/ 1 Hour During Securities Trading - Time Spent 5% 2. 04/28/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 3. 04/28/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Advisor - Start Date 07/19/2023 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-11 |
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