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Di Dong

LPl Financial LLC

Sacramento, 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 2025-01-01
  • CA RA
    APPROVED
    Since 2025-01-01

Branch Locations

500 Capitol Mall, Suite 1200, Sacramento, CA 95814 • 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
Bancwest Investment Services Sacramento CA 08/2013 09/2023
Bank Of The West Sacramento CA 08/2013 09/2023
Lpl Financial Llc Sacramento CA 09/2024 Present
Bmo Harris Bank Sacramento CA 09/2024 Present
Lpl Financial Llc Sacramento CA 09/2023 07/2024
  • 08/2013 → 09/2023
    Bancwest Investment Services
    Sacramento, CA
  • 08/2013 → 09/2023
    Bank Of The West
    Sacramento, CA
  • 09/2024 → Present
    Lpl Financial Llc
    Sacramento, CA
  • 09/2024 → Present
    Bmo Harris Bank
    Sacramento, CA
  • 09/2023 → 07/2024
    Lpl Financial Llc
    Sacramento, CA
Other Businesses

1) 08/2024 - BMO Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-12-28
S63 Uniform Securities Agent State Law Examination 2001-07-19
  • S65 Uniform Investment Adviser Law Examination
    2024-12-28
  • S63 Uniform Securities Agent State Law Examination
    2001-07-19
Other Names
  • Di Dong

View on SEC IAPD

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Other Offices

GUANILL WEALTH MANAGEMENT · SACRAMENTO, CA
ENDEAVOR FINANCIAL PLANNING · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
ROBERT W. BAIRD & CO. INCORPORATED · SACRAMENTO, CA

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