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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 2010-03-06
CA RA APPROVED 2010-02-03
  • TX RA
    APPROVED_RES
    Since 2010-03-06
  • CA RA
    APPROVED
    Since 2010-02-03

Branch Locations

1503 S Coast Dr Ste 204, Costa Mesa, CA 92626 • United States

Irvine, 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 Costa Mesa CA 02/2010 Present
  • 02/2010 → Present
    Lpl Financial
    Costa Mesa, CA
Previous Registrations
  • 2007-05-29 → 2010-02-24
    Fountain Valley, CA
    Westminister, CA
    Fountain Valley, CA
    Seal Beach, CA
    Buena Park, CA
    Costa Mesa, CA
  • 2006-06-13 → 2007-05-29
    Citicorp Investment Services
    Costa Mesa, CA
  • 2004-05-04 → 2006-06-01
    Morgan Stanley Dw Inc.
    Santa Ana, CA
Other Businesses

(1) 2/1/2021 - Brassica Inc - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 12/22/2020 - 2 Hours Per Month/0 Hours During Securities Trading - Fee/Commission revenue from LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-03
  • S66 Uniform Combined State Law Examination
    2004-05-03

View on SEC IAPD

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