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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-05-18
  • CA RA
    APPROVED
    Since 2022-05-18

Branch Locations

17500 Bloomfield Ave, Cerritos, CA 90703 • United States

1330 S. Beach Blvd., Ste. D, La Habra, CA 90631 • 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
Schoolsfirst Fcu Aka Orange County Teachers Federal Credit Union Santa Ana CA 09/2006 Present
Cuna Brokerage Services, Inc. Waverly IA 01/2007 Present
Lpl Financial Llc La Habra CA 05/2022 Present
  • 09/2006 → Present
    Schoolsfirst Fcu Aka Orange County Teachers Federal Credit Union
    Santa Ana, CA
  • 01/2007 → Present
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 05/2022 → Present
    La Habra, CA
Previous Registrations
  • 2007-01-22 → 2022-05-18
    Cuna Brokerage Services, Inc.
    Torrance, CA
    Long Beach, CA
    Long Beach, CA
    Santa Ana, CA
    Garden Grove, CA
    Garden Grove, CA
    Cypress, CA
    Long Beach, CA
    Waverly, IA
    Cypress, CA
    Anaheim, CA
    Cerritos, CA
    Anaheim, CA
    La Habra, CA
    Cypress, CA
  • 2006-10-02 → 2007-01-24
    Cuso Financial Services, L.P.
    Santa Ana, CA
  • 2003-04-14 → 2005-01-10
    Irvine, CA
Other Businesses

1. 05-18-2022- SchoolFirst FCU- Investment Related-At Reported Business Location(s)-Financial Institution Duty-Advisor- START DATE: 9/2006-160 Hours per Month/ 160 Hours During Securities Trading- 2. 05-18-2022-SchoolsFirst Investment Services- Investment Related- AT Reported Business Location(s)- DBA for LPL Business (entity for LPL business)-

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-09
  • S66 Uniform Combined State Law Examination
    2003-04-09
Other Names
  • Mark Givenrod

View on SEC IAPD

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