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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-05-28 |
| TX | RA | APPROVED | 2026-05-27 |
Branch Locations
Plumas Lake , CA • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
2377 Gold Meadow Way, Gold River, CA 95670 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Gold River | CA | 12/2008 | 06/2024 |
| Securities America Advisors | Gold River | CA | 03/2009 | 06/2024 |
| Lpl Financial | Plumas Lake | CA | 05/2026 | Present |
| Osaic Wealth, Inc. | Gold River | CA | 06/2024 | 05/2026 |
| Osaic Wealth, Inc. | Gold River | CA | 06/2024 | 05/2026 |
1. 05/2026 - John Hartman & Associates - DBA for LPL Business (entity for LPL business) - Investment related - Gold River, Ca 95670 - 120 Hrs/Mth - 40 Hrs During Trading - OBA start date: 5/27/2026 2. 05/2026 - John Hartman & Associates - Non-Variable Insurance and Annuities - Investment related - Gold River, Ca 95670 - 40 Hrs/Mth - 00 Hrs During Trading - OBA start date: 06/01/1987
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-08-26 |
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