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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-19 |
| TX | RA | APPROVED | 2021-07-16 |
Branch Locations
31225 La Baya Dr Ste 202, Westlake Village, CA 91362 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Los Angeles | CA | 06/2009 | 02/2018 |
| Morgan Stanley | Woodland Hills | CA | 02/2018 | 07/2021 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 05/2018 | 07/2021 |
| Lpl Financial, Llc | Woodland Hills | CA | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2018 | 07/2021 |
1) 05/10/2022 - La Baya Holdings LLC - Investment Related - Westlake Village CA 91362 - Real Estate Rental - Start Date - 05/04/2022 - 1 Hours Per Month/ 0 Hours During Securities Trading 2) 07/20/2022 - PBC Private Wealth - Investment Related - At Reported Business Location(s) - Start Date - 07/16/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 3) 08/15/2022- BKA and associates- Investment Related - At Reported Business Location(s) - Non-Variable Insurance- Financial Advisor-Start Date- 08/11/2022- 1 Hours Per Month/ 1 Hours During Securities Trading 4) 09/29/2022 - SJT Inc - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 07/16/2021 - 1 Hours Per Month/0 Hours During Securities Trading 5) 08/17/2023 - Orion Capital - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/13/2023 - 240 Hours Per Month/ 130 Hours During Trading 6) 12/27/2024 - PB California - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 10/31/2024 - 1 hour per month/ during trading 7) 10/06/2025- cavalier associates-Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 07/16/2024- 1 Hour Per Month- 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1987-08-18 |
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