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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-08
TX RA APPROVED 2025-05-08
  • CA RA
    APPROVED
    Since 2025-05-08
  • TX RA
    APPROVED
    Since 2025-05-08

Branch Locations

26141 Marguerite Pkwy Ste A, Mission Viejo, CA 92692 • 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
Wells Fargo Advisors, Llc Newport Beach CA 09/2012 11/2016
Wells Fargo Clearing Services, Llc Newport Beach CA 11/2016 03/2017
Ameriprise Financial Services Inc Aliso Viejo CA 03/2017 03/2020
Ameriprise Financial Services, Llc Mission Viejo CA 03/2020 05/2025
Lpl Financial Mission Viejo CA 05/2025 Present
Previous Registrations
  • 2017-03-10 → 2025-05-09
    Mission Viejo, CA
    Rancho Santa Margar, CA
  • 2012-09-11 → 2017-03-14
    Irvine, CA
    Corona Del Mar, CA
    Laguna Niguel, CA
    Ladera Ranch, CA
  • 2010-08-09 → 2012-09-11
    Ladera Ranch, CA
    Rancho Santa Margarita, CA
    Mission Viejo, CA
    San Clemente, CA
    Ladera Ranch, CA
    Rancho Santa Margarita, CA
    San Clemente, CA
    Lake Forest, CA
  • 2009-07-21 → 2010-08-13
    Chase Investment Services Corp.
    Foothill Ranch, CA
    Laguna Niguel, CA
Other Businesses

1- 11/13/2025 - Amplify Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/13/2025 - 20 hours per month/ 10 hours during trading 2- 11/13/2025 - Amplify Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/11/2025 - 160 hours per month/ 80 hours during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-07-18
S63 Uniform Securities Agent State Law Examination 1997-09-12
  • S66 Uniform Combined State Law Examination
    2009-07-18
  • S63 Uniform Securities Agent State Law Examination
    1997-09-12
Other Names
  • Josh Hanlin

View on SEC IAPD

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