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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-05-15
CA RA APPROVED 2022-01-05
  • TX RA
    APPROVED
    Since 2024-05-15
  • CA RA
    APPROVED
    Since 2022-01-05

Branch Locations

1332 Draper Street, Ste E, Kingsburg, CA 93631 • 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
Foresters Financial Services San Jose CA 10/2000 06/2018
Self Employed - Landlord (Louisiana) Baton Rouge LA 11/2006 Present
Foresters Advisory Services Llc San Jose CA 08/2012 06/2018
Self Employed - Landlord (California) San Jose CA 10/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Visalia CA 12/2018 12/2021
Bank Of America, N.A. Visalia CA 12/2018 12/2021
Lpl Financial Llc Garland TX 01/2022 Present
  • 10/2000 → 06/2018
    Foresters Financial Services
    San Jose, CA
  • 11/2006 → Present
    Self Employed - Landlord (Louisiana)
    Baton Rouge, LA
  • 08/2012 → 06/2018
    Foresters Advisory Services Llc
    San Jose, CA
  • 10/2015 → Present
    Self Employed - Landlord (California)
    San Jose, CA
  • 12/2018 → 12/2021
    Visalia, CA
  • 12/2018 → 12/2021
    Bank Of America, N.A.
    Visalia, CA
  • 01/2022 → Present
    Garland, TX
Previous Registrations
Other Businesses

1) 1/2022- Kingsburg, California 93631- owner- Real Estate Rental- inv. related- start date 3/15/2021- 1hr/mth 2) 1/2022- Bass Lake, California 93604- - owner- Real Estate Rental- inv. related- start date 8/2020- 1hr/mth 3) 1/2022- Optavia- Multi-level Marketing - coach- non-inv. related- KINGSBURG, CA- start date 11/2021- 10hrs/mth 4) 1/5/2022 - FPP Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 1/1/1998 - 40 Hours Per Month/10 Hours During Securities Trading. 5) 06/26/2023 - Nino Family Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/16/2023 - 40 Hours Per Month/ 40 Hours During Securities Trading 6) 11/07/2024 - Real Estate Rental - Investment Related - Kingsburg, CA - Start Date 10/23/2024 - 1 Hour Per Month/ 0 Hours during Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-04
S63 Uniform Securities Agent State Law Examination 2000-12-08
  • S66 Uniform Combined State Law Examination
    2012-09-04
  • S63 Uniform Securities Agent State Law Examination
    2000-12-08
Designations
Other Names
  • Teresa Jo Poese
  • Teresa Jo Nino

View on SEC IAPD

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