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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-08-02
  • CA RA
    APPROVED
    Since 2022-08-02

Branch Locations

5011 Argosy Ave Suite #13, Huntington Beach, CA 92649 • 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
Wells Fargo Advisors Llc Downey CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Downey CA 11/2016 08/2022
Lpl Financial El Segundo CA 08/2022 Present
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Downey, CA
  • 11/2016 → 08/2022
    Downey, CA
  • 08/2022 → Present
    Lpl Financial
    El Segundo, CA
Previous Registrations
  • 2011-01-03 → 2022-07-12
    Long Beach, CA
    Whittier, CA
    Pico Rivera, CA
    Santa Fe Springs, CA
    El Segundo, CA
    El Segundo, CA
    Pico Rivera, CA
    Whittier, CA
    Downey, CA
    El Segundo, CA
    Downey, CA
    Downey, CA
    Santa Fe Springs, CA
    Pico Rivera, CA
    El Segundo, CA
    Downey, CA
    Bellflower, CA
    Downey, CA
    Downey, CA
    Whittier, CA
    Lakewood, CA
    Long Beach, CA
  • 2005-08-22 → 2011-01-03
    Wells Fargo Investments, Llc
    Pico Rivera, CA
    Downey, CA
    Los Angeles, CA
    Whittier, CA
    Santa Fe Springs, CA
Other Businesses

1.08/01/2022; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Wise Financial Solutions /; Investment Related; at Reported Business Location(s); Start Date 07/07/2022; hrs/mth; hrs during trading 2.08/01/2022; ; Real Estate Rental; Investment Related; 13291 Anawood Way Westminster,CA; Start Date 07/07/2022; hrs/mth; hrs during trading 3.01/26/2023; Wise Financial Solutions; Tax Prep/Accounting/CPA; Investment Related; 5011 Argosy Ave Suite 13 Huntington Beach,CA; Start Date 01/18/2023; 1hrs/mth; 0hrs during trading 4.05/26/2026; Cayuga Drive LLC; Real Estate Rental; Investment Related; Westminster,CA; Start Date 05/15/2026; 0hrs/mth; 0hrs during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-08
S63 Uniform Securities Agent State Law Examination 2004-01-21
  • S66 Uniform Combined State Law Examination
    2005-08-08
  • S63 Uniform Securities Agent State Law Examination
    2004-01-21

View on SEC IAPD

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