Andrew C. Kuo

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

Authority	Category	Status	Date
CA	RA	APPROVED	2025-07-18
TX	RA	APPROVED_RES	2025-07-18

CA RA
APPROVED

Since 2025-07-18
TX RA
APPROVED_RES

Since 2025-07-18

Branch Locations

Yorba Linda, CA • United States

530 E. Southlake Blvd. Suite 140, Southlake, TX 76092 • 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
Western International Securities, Inc.	Pasadena	CA	06/2007	07/2025
Lpl Financial	Yorba Linda	CA	07/2025	Present

06/2007 → 07/2025

Western International Securities, Inc.

Pasadena, CA
07/2025 → Present

Lpl Financial

Yorba Linda, CA

Previous Registrations

2007-11-12 → 2025-07-21

Western International Securities, Inc.

Frederick, MD

Pasadena, CA

Pasadena, CA

Other Businesses

1 - 07/11/2025 - NEXA Partners - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s). 1 - 07/11/2025 - MGK Wealth Management INC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - Yorba Linda CA - OBA Started Date: 07/13/2025.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-10-03
S63	Uniform Securities Agent State Law Examination	2003-11-21

S66 Uniform Combined State Law Examination

2007-10-03
S63 Uniform Securities Agent State Law Examination

2003-11-21

Other Names

Andrew Kuo
Andrew Kuo
Andrew C. Kuo
Andrew C Kuo

View on SEC IAPD