Asim Mandhai

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-02-02

CA RA
APPROVED

Since 2024-02-02

Branch Locations

Irvine, CA • United States

4400 Macarthur Blvd Ste 600 4Th Floor, Newport Beach, CA 92660 • 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
Bmo Nesbitt Burns Securities Ltd.	Chicago	IL	06/2023	Present
Bmo Harris Bank N.A.	Chicago	IL	02/2019	Present
Vedder Price, P.C.	Chicago	IL	03/2017	02/2019
Dla Piper Llp	Chicago	IL	06/2015	03/2017
Lpl Financial	Chicago	IL	08/2023	Present

06/2023 → Present

Bmo Nesbitt Burns Securities Ltd.

Chicago, IL
02/2019 → Present

Bmo Harris Bank N.A.

Chicago, IL
03/2017 → 02/2019

Vedder Price, P.C.

Chicago, IL
06/2015 → 03/2017

Dla Piper Llp

Chicago, IL
08/2023 → Present

Lpl Financial

Chicago, IL

Previous Registrations

2008-06-11 → 2013-10-03

Gwn Securities Inc.

Gainesville, FL

Fullerton, CA

Palm Beach Gardens, FL

Palm Beach Gardens, FL

Fallerton, CA

Fullerton, CA
2006-10-16 → 2008-05-12

Lpl Financial Llc

Corona, CA

Lexington, KY

Corona, CA
2003-01-31 → 2006-10-23

Equitable Advisors, Llc

Irvine, CA

Irvine, CA

Other Businesses

1- 07/2023 / BMO Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related 2) 05/13/2025 - Mandhai Consulting LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - rvine, CA - Start Date: 05/15/2025 - 2 Hrs/Mth - 0 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-02-01

S66 Uniform Combined State Law Examination

2024-02-01

View on SEC IAPD