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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 2013-10-09
CA RA APPROVED 2013-10-01
  • TX RA
    APPROVED_RES
    Since 2013-10-09
  • CA RA
    APPROVED
    Since 2013-10-01

Branch Locations

3488 W Shaw Ave, Fresno, CA 93711 • United States

6745 N. Milburn, Fresno, CA 93722 • 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
Educational Employee Credit Union Fresno CA 04/2000 Present
Lpl Financial Charlotte NC 10/2013 Present
  • 04/2000 → Present
    Educational Employee Credit Union
    Fresno, CA
  • 10/2013 → Present
    Lpl Financial
    Charlotte, NC
Previous Registrations
  • 2007-03-27 → 2013-10-01
    Cetera Wealth Services, Llc
    Fresno, CA
    Merced, CA
    Fresno, CA
    Hanford, CA
    Fresno, CA
    Madera, CA
    Fresno, CA
Other Businesses

1)10/1/13-DBA ONLY/EECU MEMBER INVESTMENT SERVICES/100%/FRESNO,CA 2) 12/17/2021 - No Business Name - Investment Related - Fresno CA 93705 - Real Estate Rental - Start Date: 09/01/2019 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-22
S63 Uniform Securities Agent State Law Examination 2002-07-16
  • S65 Uniform Investment Adviser Law Examination
    2006-05-22
  • S63 Uniform Securities Agent State Law Examination
    2002-07-16
Other Names
  • John Jin Otto

View on SEC IAPD

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