Usha Monique Cervantes

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2014 → 06/2024
  Transamerica Financial Advisors, Inc
  Rancho Cucamonga, CA
• 08/2014 → Present
  Wfgia
  Rancho Cucamonga, CA
• 04/2009 → 03/2023
  Notary Public
  Covina, CA
• 12/2019 → Present
  Rental Property
  Pomona, CA
• 05/2023 → Present
  Lochytocker Inc
  Covina, CA
• 02/2022 → Present
  "Over 100 First Samoan Words" Book
  Covina, CA
• 06/2024 → Present
  Lpl Financial
  Covina, CA

Previous Registrations

• 2014-10-02 → 2024-06-21
  Transamerica Financial Advisors, Llc
  Chino Hills, CA
  Torrance, CA
  Chino Hills, CA
  Chino, CA
  Chino Hills, CA

Other Businesses

1- 04/2024 / "Over 100 First Samoan Words" book / Other - Author / Non Investment Related / start date 05/02/2022 2- 04/2024 / LOCHYTOCKER INC / Other - Business Owner / Non Investment Related / 30 hrs mnth / start date 05/12/2023 3- 04/2024 / REAL ESTATE RENTAL / INVESTMENT RELATED / 2 HRS MNTH / 2 HRS DURING TRADING / START DATE 05/01/2004

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-05-05
• S63 Uniform Securities Agent State Law Examination
  2010-06-02

Designations

• Chartered Financial Consultant

Other Names

• Usha Monique Sharma
• Usha Monique P. Sharma