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Ali Sotoodeh Rad

LPl Financial LLC

Woodland Hills, CA

Walnut Creek, 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 2025-06-05
TX RA APPROVED_RES 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05
  • TX RA
    APPROVED_RES
    Since 2025-06-05

Branch Locations

5900 Canoga Ave Ste 220 Ste. 220, Woodland Hills, CA 91367 • United States

1990 N California Blvd Fl 8Th, Walnut Creek, CA 94596 • 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
Financial West Group Westlake Village CA 05/2010 08/2017
Western International Securities, Inc. Pasadena CA 08/2017 Present
Lpl Financial Llc Woodland Hills CA 06/2025 Present
  • 05/2010 → 08/2017
    Financial West Group
    Westlake Village, CA
  • 08/2017 → Present
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Lpl Financial Llc
    Woodland Hills, CA
Previous Registrations
  • 2017-08-21 → 2025-06-05
    Western International Securities, Inc.
    Woodland Hills, CA
    Newport Beach, CA
    Woodland Hills, CA
    Campbell, CA
  • 2010-06-01 → 2017-08-21
    Financial West Group
    San Francisco, CA
    Los Angeles, CA
  • 2009-01-23 → 2010-06-18
    Oppenheimer & Co. Inc.
    Los Angeles, CA
  • 2007-04-02 → 2009-01-29
    Morgan Stanley & Co. Llc
    Santa Monica, CA
  • 2006-09-14 → 2007-04-02
    Morgan Stanley Dw Inc.
    Santa Monica, CA
Other Businesses

1) Accident & Health, Life and Variable Insurance; Investment-Related; Agent

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-13
S63 Uniform Securities Agent State Law Examination 2006-08-30
  • S65 Uniform Investment Adviser Law Examination
    2006-09-13
  • S63 Uniform Securities Agent State Law Examination
    2006-08-30

View on SEC IAPD

Other Firms

MERCER GLOBAL ADVISORS INC.
INDEPENDENT FINANCIAL GROUP, LLC
VENTURA ADVISORS
LINCOLN INVESTMENT
STATE FARM INVESTMENT MANAGEMENT CORP.
CITIGROUP GLOBAL MARKETS INC.
CHELSEA MANAGEMENT COMPANY
U.S. BANCORP ADVISORS, LLC

Other Investors

MICHAEL WILLIAM JOHNS
STEWART E SCHRADER
Daniel Polyakov
Carol Ann Casebolt
Homer Jonathan Reed Wilson
JAMES MATTHEW PATTON
LISA ESTELLE HARWOOD
JEFFREY ALAN HARWOOD

Other Offices

MERCER GLOBAL ADVISORS INC. · Woodland Hills, CA
INDEPENDENT FINANCIAL GROUP, LLC · Woodland Hills, CA
VENTURA ADVISORS · WOODLAND HILLS, CA
LPL FINANCIAL LLC · WOODLAND HILLS, CA
LINCOLN INVESTMENT · WOODLAND HILLS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Woodland Hills, CA
CITIGROUP GLOBAL MARKETS INC. · Woodland Hills, CA
CHELSEA MANAGEMENT COMPANY · WOODLAND HILLS, CA

More in Woodland Hills, CA

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