Yoko Mochizuki Wickersham

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2013-01-28

CA RA
APPROVED

Since 2013-01-28

Branch Locations

Escondido, 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

Organization	City	State	From	To
Lpl Financial Llc	San Diego	CA	01/2013	Present

01/2013 → Present

Lpl Financial Llc

San Diego, CA

Previous Registrations

2003-07-01 → 2013-01-31

Wells Fargo Clearing Services, Llc

San Diego, CA

San Diego, CA
2000-02-25 → 2003-07-01

Prudential Equity Group, Llc

Pasadena, CA

Other Businesses

(1) 12/11/2012: No Business Name - Real Estate Rental - Investment Related - At Reported Business Location(s) - 2% Time Spent - 50% ownership on three properties. Communicate property management companies for rental/maintenance. (2) 05/10/2013: Wickersham Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s).

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-02-16
S63	Uniform Securities Agent State Law Examination	1998-09-04

S66 Uniform Combined State Law Examination

2000-02-16
S63 Uniform Securities Agent State Law Examination

1998-09-04

Designations

Certified Financial Planner

View on SEC IAPD