Emi Shindo

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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-11-02
CA	RA	APPROVED	2008-10-24

TX RA
APPROVED

Since 2023-11-02
CA RA
APPROVED

Since 2008-10-24

Branch Locations

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

Visalia, 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

Organization	City	State	From	To
Linsco Private Ledger	San Diego	CA	05/2005	Present

05/2005 → Present

Linsco Private Ledger

San Diego, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-01-17

S63 Uniform Securities Agent State Law Examination

2001-01-17

Designations

View on SEC IAPD

Other Firms

CETERA INVESTMENT ADVISERS LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RBC CAPITAL MARKETS, LLC

CETERA INVESTMENT MANAGEMENT LLC

ONE CAPITAL MANAGEMENT, LLC

TRIVANT CUSTOM PORTFOLIO GROUP LLC

SILVIA MCCOLL WEALTH MANAGEMENT, LLC

RICE HALL JAMES & ASSOCIATES LLC

Other Investors

Summer Rae Pretzer

Jeffrey Raymond Dockan

Arben Qirjazi

James Grandinetti

RYAN MAUL

JAMES T FARLEY

ASHLEY LYNN TESTER

Megan Polizzi

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

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