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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-05-17
CA RA APPROVED 2017-11-29
HI RA APPROVED 2017-11-29
OR RA APPROVED 2017-11-29
WA RA APPROVED 2017-11-29
  • TX RA
    APPROVED_RES
    Since 2023-05-17
  • CA RA
    APPROVED
    Since 2017-11-29
  • HI RA
    APPROVED
    Since 2017-11-29
  • OR RA
    APPROVED
    Since 2017-11-29
  • WA RA
    APPROVED
    Since 2017-11-29

Branch Locations

6830 Via Del Oro Ste 250, San Jose, CA 95119 • 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
Metropolitan Adult Education Program (Maep) San Jose CA 01/2008 Present
National Planning Corporation Santa Monica CA 03/2009 11/2017
The Planners Network Temecula CA 07/2016 Present
Lpl Financial Llc San Jose CA 11/2017 Present
  • 01/2008 → Present
    Metropolitan Adult Education Program (Maep)
    San Jose, CA
  • 03/2009 → 11/2017
    National Planning Corporation
    Santa Monica, CA
  • 07/2016 → Present
    The Planners Network
    Temecula, CA
  • 11/2017 → Present
    San Jose, CA
Previous Registrations
  • 2016-07-06 → 2017-12-31
    The Planners Network, Inc.
    San Jose, CA
    Temecula, CA
  • 2009-03-17 → 2017-11-29
    National Planning Corporation
    San Jose, CA
    Cupertino, CA
    San Jose, CA
  • 2005-07-29 → 2009-03-24
    Whjr Associates
    Campbell, CA
  • 2005-07-28 → 2009-03-23
    Cupertino, CA
    Cupertino, CA
    Cupertino, CA
    Campbell, CA
    Campbell, CA
  • 2002-08-14 → 2005-04-04
    Campbell, CA
Other Businesses

1. 11/29/2017 - GALINDO FINANCIAL ADVISORY - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Owner - start date 6/1/2015 - 1 hour per month. 2. 10/26/2021 - Galindo Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/15/2015 - 160 Hours Per Month/5 Hours During Securities Trading. 3. 09/26/2022 - LISI/Amwins - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Rep - Start Date - 08/01/2020 - 4 Hours Per Month/0 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-13
  • S66 Uniform Combined State Law Examination
    2002-08-13

View on SEC IAPD

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