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Dawn Marie Asis

LPl Financial LLC

Irvine, CA

CRD 3276795

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-09-15
  • CA RA
    APPROVED
    Since 2023-09-15

Branch Locations

2600 Michelson, Suite 950, Irvine, CA 92612 • 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
The Ayco Company, L.P./Mercer Allied Irvine CA 07/1998 01/2021
Goldman Sachs & Co. Llc Irvine CA 01/2021 03/2023
Lpl Financial Llc Irvine CA 09/2023 Present
Unemployed Dana Point CA 03/2023 09/2023
  • 07/1998 → 01/2021
    The Ayco Company, L.P./Mercer Allied
    Irvine, CA
  • 01/2021 → 03/2023
    Goldman Sachs & Co. Llc
    Irvine, CA
  • 09/2023 → Present
    Lpl Financial Llc
    Irvine, CA
  • 03/2023 → 09/2023
    Unemployed
    Dana Point, CA
Previous Registrations
Other Businesses

1) 09/2023 - SageMint Wealth / Merit - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-14
  • S66 Uniform Combined State Law Examination
    2000-08-14
Other Names
  • Dawn Marie Miller
  • Dawn Marie Miller

View on SEC IAPD

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