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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-05-11
TX RA APPROVED_RES 2023-05-11
  • CA RA
    APPROVED
    Since 2023-05-11
  • TX RA
    APPROVED_RES
    Since 2023-05-11

Branch Locations

23232 Peralta Dr Ste 122, Laguna Hills, CA 92653-1437 • United States

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

23232 Peralta Dr, Suite 122, Laguna Hills, CA 92653 • 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
Aig Financial Advisors, Inc. Phoenix AZ 10/2005 05/2023
Cpa Financial Group, Inc Laguna Hills CA 11/2006 Present
Cpa Financial Group, Inc Laguna Hills CA 11/2006 Present
Lpl Financial Llc Laguna Hills CA 05/2023 Present
  • 10/2005 → 05/2023
    Aig Financial Advisors, Inc.
    Phoenix, AZ
  • 11/2006 → Present
    Cpa Financial Group, Inc
    Laguna Hills, CA
  • 11/2006 → Present
    Cpa Financial Group, Inc
    Laguna Hills, CA
  • 05/2023 → Present
    Laguna Hills, CA
Previous Registrations
  • 2005-10-31 → 2023-05-15
    Osaic Services, Inc.
    Laguna Hills, CA
  • 2005-04-19 → 2005-10-31
    Sunamerica Securities, Inc.
    Laguna Hills, CA
  • 2004-05-06 → 2005-04-20
    Laguna Hills, CA
  • 2001-01-05 → 2004-09-30
    Genworth Financial Planning Corporation
    Laguna Hills, CA
Other Businesses

1) 5/2023 - CPA Financial Group, INC. / Tax Prep/Accounting/CPA / Laguna Hills CA - Start date 01/01/1989 - 8 Hrs per month

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-11-30
S65 Uniform Investment Adviser Law Examination 2000-06-27
  • S63 Uniform Securities Agent State Law Examination
    2000-11-30
  • S65 Uniform Investment Adviser Law Examination
    2000-06-27

View on SEC IAPD

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