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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-03-23 |
| CA | RA | APPROVED | 2007-03-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Santa Ana | CA | 03/2007 | Present |
1. 04/19/2011 - OTHER-PREPAID LEGAL PLAN - AMERIESTATE LEGAL PLAN, INC.- THIS IS A PREPAID LEGAL PLAN FOR ESTATE PLANNING AND/OR ASSET PROTECTION. MY ROLE IS TO EXPLAIN THE BENEFITS, COLLECT THE NECESSARY INFORMATION AND PASS THIS ON TO AMERIESTATE FOR THEIR ATTORNEYS. WE ARE IN NO WAY INVOLVED IN THE PRACTICE OF LAW. - 5% OF TIME SPENT. 2. 05/14/2014 - NON-VARIABLE INSURANCE DBA - TRI-CIRCLE FINANCIAL STRATEGIES - SALE OF LIFE, HEALTH AND LONG TERM CARE INSURANCE. - TIME SPENT 25% - SANTA ANA, CA. 3. 01/7/2015 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - SUCCESSION STRATEGIES, INC. - STARTED 01/01/2015 - TIME SPENT 2 HOURS PER MONTH/0 HOURS DURING TRADING - 1633 E. 4TH STREET, SUITE 216, SANTA ANA, CA 92701. 4. 1/27/2017 - City of Irvine CA - Not Investment Related - 1 Civic Center Plaza, Irvine CA 92606 - Non-Profit Board Member - Started 02/01/2010 - 5 Hours per Month During Securities Trading - Senior Advisory committee.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-07-28 |
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