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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05

Branch Locations

2555 Townsgate Rd Ste 300, Westlake Village, CA 91361 • United States

Encino, CA • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Western International Securities, Inc. Pasadena CA 02/2009 Present
Lpl Financial Llc Westlake Village CA 06/2025 Present
  • 02/2009 → Present
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Westlake Village, CA
Previous Registrations
  • 2009-02-17 → 2025-06-05
    Western International Securities, Inc.
    Westlake Village, CA
    Pasadena, CA
  • 2007-05-11 → 2009-02-17
    Morgan Stanley & Co. Llc
    Los Angeles, CA
  • 2003-06-06 → 2007-05-25
    Los Angeles, CA
    Century City, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-12-27
S63 Uniform Securities Agent State Law Examination 1993-07-09
  • S65 Uniform Investment Adviser Law Examination
    2024-12-27
  • S63 Uniform Securities Agent State Law Examination
    1993-07-09

View on SEC IAPD

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