Joey Sergio Soto

Current Employers

Employment History

• 10/2015 → Present
  Lpl Financial, Llc
  Houston, TX

Previous Registrations

• 2012-12-03 → 2015-11-06
  Citigroup Global Markets Inc.
  San Antonio, TX
  San Ysidro, CA
  Fountain Valley, CA
  San Francisco, CA
  San Jose, CA
  San Diego, CA
  Sand Diego, CA
  Chula Vista, CA
• 2012-07-12 → 2012-11-27
  Hsbc Securities (Usa) Inc.
  San Diego, CA
• 2007-05-09 → 2012-06-12
  Chase Investment Services Corp.
  Houston, TX
  Houston, TX
  Dallas, TX
• 2006-07-26 → 2007-04-02
  Bancwest Investment Services, Inc.
  Las Cruces, NM
  Las Cruces, NM
  Anthony, NM
  Anthony, NM
  Las Cruces, NM
• 2006-03-20 → 2006-06-21
  Cuso Financial Services, L.P.
  San Diego, CA
  Pasadena, CA
• 2003-11-12 → 2004-07-19
  Bancwest Investment Services, Inc.
  Sierra Madre, CA
  Sierra Madre, CA
  City Of Industry, CA
  Bell Gardens, CA
  Baldwin Park, CA
  Bellflower, CA
• 2002-06-03 → 2003-11-13
  Lpl Financial Llc
  Monterey Park, CA
• 2000-09-22 → 2002-10-24
  Banc Of America Investment Services, Inc.
  Santa Barbara, CA

Other Businesses

1. 12/3/2015 - IBC Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/30/2015 - 8 Hours Per Month During Securities Trading. 2. 08/03/2016 * BRANDON BROKERAGE * Non-Variable Insurance * INV REL* 2199 PONCE DE LEON BLVD, SUITE 401, CORRAL GABLES, FL 33134 * (A) AGENT (B) BRANDON BROKERAGE (C) AGENT LEVEL (D) NO * START 07/28/2016 * 4 HRS/MO; 0 DURING SECS TRDG HRS. 3. 08/08/2016 * SERGIO J SOTO * DBA for LPL Business (entity for LPL business) * INV REL * 5085 WESTHEIMER RD. SUITE 4640, HOUSTON TX 77056 * START 08/01/2016 * 160 HRS/MO; 8 DURING SECS TRDG HRS.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-25
• S63 Uniform Securities Agent State Law Examination
  1999-05-17

Other Names

• Sergio J Soto