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Art He

LPl Financial LLC

San Jose, 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 2013-12-16
  • CA RA
    APPROVED
    Since 2013-12-16

Branch Locations

2570 N 1St St, 2Nd Fl, San Jose, CA 95131-1035 • 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
Lpl Financial San Jose CA 12/2013 Present
  • 12/2013 → Present
    Lpl Financial
    San Jose, CA
Previous Registrations
  • 2013-08-28 → 2013-12-20
    Msi Financial Services, Inc.
    San Jose, CA
  • 2004-02-25 → 2013-08-15
    Msi Financial Services, Inc.
    Walnut Creek, CA
    Campbell, CA
    San Jose, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-12-05
S63 Uniform Securities Agent State Law Examination 2002-04-13
  • S65 Uniform Investment Adviser Law Examination
    2003-12-05
  • S63 Uniform Securities Agent State Law Examination
    2002-04-13
Other Names
  • Art He
  • Xiaodi He
  • Xiaodi None He

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
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