Frank Joseph Uxa

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

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2025-04-03
CA	RA	APPROVED	2025-03-31
TX	RA	APPROVED	2025-03-31

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Northwestern Mutual Investment Services Llc	Irvine	CA	05/2023	11/2023
Morgan Stanley	Irvine	CA	05/2019	04/2023
Wells Fargo	Laguna Niguel	CA	01/2008	05/2019
Northwestern Mutual Wealth Management Company	Milwaukee	WI	04/2023	11/2023
Thrivent Investment Management Inc	Irvine	CA	04/2024	08/2024
Unemployed	Mission Viejo	CA	11/2023	04/2024
Thrivent Financial	Appleton	WI	04/2024	08/2024
Compak Asset Management	Newport Beach	CA	08/2024	12/2024
Compak Securities, Inc.	Newport Beach	CA	08/2024	12/2024
Lpl Financial Llc	Newport Beach	CA	03/2025	Present

2024-08-27 → 2024-12-24

Compak Asset Management

Newport Beach, CA
2024-04-05 → 2024-08-14

Thrivent Investment Management Inc.

Irvine, CA

Minneapolis, MN

Mission Viejo, CA
2023-05-22 → 2023-11-07

Northwestern Mutual Investment Services, Llc

Irvine, CA
2019-05-24 → 2023-04-17

Morgan Stanley

Newport Beach, CA

Santa Ana, CA

Irvine, CA
2010-09-14 → 2019-05-29

Wells Fargo Clearing Services, Llc

Irvine, CA

Laguna Niguel, CA

San Clemente, CA

Irvine, CA

Los Angeles, CA
2009-07-20 → 2010-09-10

Wells Fargo Investments, Llc

Laguna Niguel, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-07-17

Other Firms