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Mario Fernando Contreras

LPl Financial LLC

San Diego, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-07-30
  • CA RA
    APPROVED
    Since 2015-07-30

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • 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 San Diego CA 07/2015 Present
  • 07/2015 → Present
    Lpl Financial
    San Diego, CA
Previous Registrations
  • 2012-01-03 → 2013-09-25
    Schwab Wealth Advisory, Inc.
    Phoenix, AZ
  • 2008-07-17 → 2011-12-31
    Charles Schwab & Co., Inc.
    Phoenix, AZ
    Englewood, CO
    Phoenix, AZ
    Englewood, CO
  • 2007-07-30 → 2007-09-12
    Envestnet Pmc
    Berwyn, PA
  • 2006-09-27 → 2006-10-16
    J.P. Morgan Securities Inc.
    Denver, CO
  • 2000-10-17 → 2006-09-27
    Banc One Securities Corporation
    Denver, CO
    Denver, CO
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-20
S63 Uniform Securities Agent State Law Examination 1998-04-28
  • S65 Uniform Investment Adviser Law Examination
    1999-12-20
  • S63 Uniform Securities Agent State Law Examination
    1998-04-28
Other Names
  • Mario F Contreras

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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