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Mai Thi Park

LPl Financial LLC

Newport Beach, CA

Torrance, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-07
TX RA APPROVED 2025-05-07
  • CA RA
    APPROVED
    Since 2025-05-07
  • TX RA
    APPROVED
    Since 2025-05-07

Branch Locations

5000 Birch St.WEst Tower #8000, Newport Beach, CA 92660 • United States

990 W. 190Th St Ste 500, Torrance, CA 90502 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Huntington Beach CA 10/2009 05/2025
Bank Of America, Na Costa Mesa CA 12/2009 05/2025
Lpl Financial Llc Newport Beach CA 05/2025 Present
Previous Registrations
  • 2009-10-23 → 2025-05-08
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Huntington Beach, CA
    Costa Mesa, CA
    Newport Beach, CA
    Newport Beach, CA
  • 2008-07-25 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Huntington Beach, CA
    Newport Beach, CA
    Costa Mesa, CA
  • 2007-04-02 → 2008-08-04
    Morgan Stanley & Co. Llc
    Pasadena, CA
    Santa Ana, CA
  • 2003-09-29 → 2007-04-02
    Morgan Stanley Dw Inc.
    Pasadena, CA
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-09-26
S63 Uniform Securities Agent State Law Examination 2003-09-19
  • S65 Uniform Investment Adviser Law Examination
    2003-09-26
  • S63 Uniform Securities Agent State Law Examination
    2003-09-19
Other Names
  • Mai-Thi Truong
  • Mai Thi Park
  • Mai Thi Park
  • Mai Park

View on SEC IAPD

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