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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-14 |
Branch Locations
10250 Constellation Blvd # 30 30Th Flr, Los Angeles, CA 90067 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | 07/2017 |
| Jpmorgan Chase Bank Na | Los Angeles | CA | 07/2017 | 10/2024 |
| Jpmorgan Securities Llc | Los Angeles | CA | 07/2017 | 10/2024 |
| Bmo Harris Bank | Newport Beach | CA | 01/2025 | Present |
| Lpl Financial Llc | Newport Beach | CA | 01/2025 | Present |
1- 12/2024 / BMO Investment Services / DBA for LPL Business (entity for LPL business) / INV RLTD
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-08-25 |
| S65 | Uniform Investment Adviser Law Examination | 1995-08-25 |
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