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Christopher Freeman Moffat

LPl Financial LLC

San Diego, CA

Escondido, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2006-09-28
  • CA RA
    APPROVED
    Since 2006-09-28

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Escondido, CA • 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
Linsco/Private Ledger Corp San Diego CA 09/2006 Present
  • 09/2006 → Present
    Linsco/Private Ledger Corp
    San Diego, CA
Previous Registrations
  • 2005-12-19 → 2006-08-24
    Pruco Securities, Llc.
    San Diego, CA
  • 2004-10-20 → 2004-11-23
    Banc Of America Investment Services, Inc.
    San Diego, CA
  • 2002-11-21 → 2004-10-20
    Quick & Reilly, Inc.
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1994-06-16
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1994-06-16
Other Names
  • Chris Moffat
  • Chris Freeman Moffat

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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