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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-03-09
  • CA RA
    APPROVED
    Since 2012-03-09

Branch Locations

25138 Century Oaks Circle, Castro Valley, CA 94552 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Castro Valley CA 03/2012 Present
Previous Registrations
  • 2007-08-30 → 2012-03-22
    Pleasanton, CA
    Dublin, CA
    Walnut Creek, CA
    Richmond, CA
    San Leandro, CA
  • 2003-03-27 → 2007-08-31
    Ifmg Securities, Inc.
    Walnut Creek, CA
    Emeryville, CA
    Livermore, CA
    San Francisco, CA
    Walnut Creek, CA
    Concord, CA
    Pleasanton, CA
    Lafayette, CA
Other Businesses

1. 9/6/2017: FC Burnside Condos - Investment Related - Portland, OR - Real Estate Rental - Started 09/15/2017 - 0 Hours Per Month - Condo in Portland, Oregon that will be a rental. 2. 10/4/2018 - FC Ash Apts LLC - Investment Related - Portland, OR 97216 - Real Estate Rental - Started 08/24/2018 - 0 Hours Per Month - 50% owner of multi-unit apartment building. 3. 08/02/2022 - Henchi Properties LLC - Investment Related - BEAVERTON, OR 97005 - Real Estate Rental - Start Date - 03/01/2021 - 1 Hours Per Month/0 Hours During Securities Trading. 4) 05/29/2025 - Brilliant Wealth Strategies - Investment Related - Business Entity For Tax/Investment Purposes Only - At Reported Business Location(s) - Start Date - 05/15/2025 - 160 Hrs/Mth - 8 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-10-15
S63 Uniform Securities Agent State Law Examination 1997-07-22
  • S65 Uniform Investment Adviser Law Examination
    2007-10-15
  • S63 Uniform Securities Agent State Law Examination
    1997-07-22
Other Names
  • Huy Quoc Giang

View on SEC IAPD

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