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Brian Michael Wiese

LPl Financial LLC

San Luis Obispo, CA

CRD 2856339

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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
TX RA APPROVED_RES 2010-08-10
CA RA APPROVED 2003-02-21
  • TX RA
    APPROVED_RES
    Since 2010-08-10
  • CA RA
    APPROVED
    Since 2003-02-21

Branch Locations

11545 Los Osos Valley Road Suite B-1, San Luis Obispo, CA 93405 • 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 San Louis Obispo CA 02/2003 Present
Previous Registrations
Other Businesses

(10 02/26/2008: Summit Investment Group - Non-Variable Insurance DBA - At Reported Business Location(s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-18
S63 Uniform Securities Agent State Law Examination 1997-04-14
  • S65 Uniform Investment Adviser Law Examination
    1998-05-18
  • S63 Uniform Securities Agent State Law Examination
    1997-04-14

View on SEC IAPD

Nearby Firms

COMMONWEALTH FINANCIAL NETWORK
MML INVESTORS SERVICES, LLC
EDWARD JONES

Nearby Investors

JAY MICHAEL DOUGLAS
RALPH MICHAELS SLOCUM
TRINA JACQLEEN CISNEROS

Nearby Offices

COMMONWEALTH FINANCIAL NETWORK · San Luis Obispo, CA
LPL FINANCIAL LLC · SAN LUIS OBISPO, CA
MML INVESTORS SERVICES, LLC · SAN LUIS OBISPO, CA

More in San Luis Obispo, CA

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