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Chris J. Held

LPl Financial LLC

Walnut Creek, 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 2019-02-28
TX RA APPROVED_RES 2019-02-27
  • CA RA
    APPROVED
    Since 2019-02-28
  • TX RA
    APPROVED_RES
    Since 2019-02-27

Branch Locations

1211 Newell Ave. Suite 120, Walnut Creek, CA 94596 • 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
Morgan Stanley Smith Barney Walnut Creek CA 04/2012 02/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 02/2019
Lpl Financial, Llc Walnut Creek CA 02/2019 Present
  • 04/2012 → 02/2019
    Morgan Stanley Smith Barney
    Walnut Creek, CA
  • 01/2015 → 02/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 02/2019 → Present
    Lpl Financial, Llc
    Walnut Creek, CA
Previous Registrations
  • 2012-04-30 → 2019-03-01
    Morgan Stanley
    Walnut Creek, CA
  • 2011-01-03 → 2012-05-01
    Wells Fargo Clearing Services, Llc
    Concord, CA
    Walnut Creek, CA
    Walnut Creek, CA
  • 2004-06-15 → 2011-01-03
    Wells Fargo Investments, Llc
    Pleasant Hill, CA
    Pittsburg, CA
    Walnut Creek, CA
    Dublin, CA
    Concord, CA
    Concord, CA
    Pleasant Hill, CA
    Pleasant Hill, CA
    Antioch, CA
    Pleasant Hill, CA
Other Businesses

1)01/18/2019 - DBA for LPL Business (entity for LPL business) - ELEMENT WEALTH MANAGEMENT - 100% - INVESTMENT RELATED - WALNUT CREEK, CA 94597

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-14
  • S66 Uniform Combined State Law Examination
    2004-06-14
Designations

View on SEC IAPD

Other Firms

USCF ADVISERS
BURTON ENRIGHT WELCH
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SAVANT WEALTH MANAGEMENT
ONE CAPITAL MANAGEMENT, LLC
ROCKEFELLER FINANCIAL LLC
OSAIC WEALTH, INC.

Other Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL
Sydney Irene Kovacs
DAVID ANTHONY ESPINEIRA
BENJAMIN ROSS PETERS
Annie Claire Klopstock
Alex Kyle Soderberg

Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

More in Walnut Creek, CA

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