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Don Adrian Tecson Ventura

LPl Financial LLC

San Diego, 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 2022-03-15
TX RA APPROVED_RES 2022-03-15
  • CA RA
    APPROVED
    Since 2022-03-15
  • TX RA
    APPROVED_RES
    Since 2022-03-15

Branch Locations

San Diego, CA • 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
Independent Capital Management San Diego CA 06/2004 Present
Sagepoint Financial, Inc. San Diego CA 01/2009 03/2022
Lpl Financial Llc San Diego CA 03/2022 Present
  • 06/2004 → Present
    Independent Capital Management
    San Diego, CA
  • 01/2009 → 03/2022
    Sagepoint Financial, Inc.
    San Diego, CA
  • 03/2022 → Present
    Lpl Financial Llc
    San Diego, CA
Previous Registrations
  • 2020-01-17 → 2022-03-17
    Osaic Services, Inc.
    Phoenix, AZ
    San Diego, CA
  • 2010-06-24 → 2020-01-21
    Independent Capital Management
    San Diego, CA
  • 2004-02-25 → 2004-04-16
    Ameriprise Financial Services, Llc
    East Hartford , CT
Other Businesses

1)02/03/2022 - INDEPENDENT CAPITAL MANAGEMENT, INC. - Non-Variable Insurance - Inv Rel - At Registered Location(s) - Start: 06/2004 - 20 Hr/Mth

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-02-24
  • S66 Uniform Combined State Law Examination
    2004-02-24
Other Names
  • Don Adrian Ventura

View on SEC IAPD

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