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Brian Michael Wiese

LPl Financial LLC

San Luis Obispo, CA

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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 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

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STATE FARM INVESTMENT MANAGEMENT CORP.
CORVUS WEALTH ADVISORS LLC
PEAK WEALTH ADVISORS, INC.
CREW WEALTH MANAGEMENT
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

JAY MICHAEL DOUGLAS
RALPH MICHAELS SLOCUM
TRINA JACQLEEN CISNEROS
MATT TAPANI KOKKONEN
James Ralph Haack
Joel Martin Dunbar
TODD ALAN THOMAS
CAROLYN JANE HERZOG

Other Offices

COMMONWEALTH FINANCIAL NETWORK · San Luis Obispo, CA
LPL FINANCIAL LLC · SAN LUIS OBISPO, CA
MML INVESTORS SERVICES, LLC · SAN LUIS OBISPO, CA
EDWARD JONES · SAN LUIS OBISPO, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · San Luis Obispo, CA
CORVUS WEALTH ADVISORS LLC · SAN LUIS OBISPO, CA
PEAK WEALTH ADVISORS, INC. · SAN LUIS OBISPO, CA
CREW WEALTH MANAGEMENT · SAN LUIS OBISPO, CA

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