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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-12-16
TX RA APPROVED_RES 2021-12-16
  • CA RA
    APPROVED
    Since 2021-12-16
  • TX RA
    APPROVED_RES
    Since 2021-12-16

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Antelope, CA • 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, Llc Roseville CA 07/2016 07/2017
National Planning Corporation Antelope CA 08/2017 10/2017
Securities America, Inc. Antelope CA 10/2017 11/2021
Securities America Advisors Antelope CA 10/2017 12/2021
Lpl Financial, Llc Antelope CA 12/2021 Present
  • 07/2016 → 07/2017
    Roseville, CA
  • 08/2017 → 10/2017
    National Planning Corporation
    Antelope, CA
  • 10/2017 → 11/2021
    Securities America, Inc.
    Antelope, CA
  • 10/2017 → 12/2021
    Securities America Advisors
    Antelope, CA
  • 12/2021 → Present
    Antelope, CA
Previous Registrations
  • 2017-10-20 → 2021-12-21
    Securities America Advisors, Inc.
    Antelope, CA
  • 2017-08-02 → 2017-10-26
    National Planning Corporation
    Antelope, CA
    Huntington Beach, CA
  • 2016-07-19 → 2017-08-04
    Antelope, CA
    Roseville, CA
    Sacramento, CA
  • 2008-08-13 → 2016-07-20
    Cetera Wealth Services, Llc
    Roseville, CA
    Rancho Cordova, CA
  • 2003-10-21 → 2008-08-13
    Pension Planners Securities, Inc.
    Sacramento, CA
    Sacramento, CA
Other Businesses

1) 04/09/2019 - DBA for LPL Business (entity for LPL business) / Brady Investments & Wealth Planning / Investment Related / Antelope, CA 95843 2) 08/01/2012 - Real Estate Rental / Jonathan Brady / Investment Related / 0Hrs/Mo During Trading / 2188 Sandra Drive Napa, CA 3) 2016 - Notary / Jonathan Brady / Investment Related / 0Hrs/Mo During Trading / Antelope, CA 95843

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-20
S63 Uniform Securities Agent State Law Examination 1996-08-30
  • S65 Uniform Investment Adviser Law Examination
    1996-09-20
  • S63 Uniform Securities Agent State Law Examination
    1996-08-30
Other Names
  • Jonathan Matthew Brady

View on SEC IAPD

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