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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-09-20
TX RA APPROVED 2010-09-17
  • CA RA
    APPROVED
    Since 2010-09-20
  • TX RA
    APPROVED
    Since 2010-09-17

Branch Locations

1129 Highland Ave, Ste 201, Manhattan Beach, CA 90266 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Manhattan Beach CA 09/2010 Present
  • 09/2010 → Present
    Lpl Financial
    Manhattan Beach, CA
Previous Registrations
Other Businesses

1. 09/17/10 - COLDWELL BANKER/ REAL ESTATE AGENT/ 15% OF TIME/ MANHATTAN BEACH, CA 2. 09/17/10 - REAL ESTATE RENTAL IN INGLEWOOD, CA/ 1% OF TIME 3. 09/17/10 - 2 REAL ESTATE RENTALS IN LOS ANGELES, CA/ 1% OF TIME

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-09-11
S63 Uniform Securities Agent State Law Examination 1988-05-02
  • S65 Uniform Investment Adviser Law Examination
    1992-09-11
  • S63 Uniform Securities Agent State Law Examination
    1988-05-02

View on SEC IAPD

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