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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-02-18
  • CA RA
    APPROVED
    Since 2026-02-18

Branch Locations

15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • United States

Los Angeles, 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
Western International Securities, Inc. Pasadena CA 01/2013 07/2022
Financial & Tax Architects, Llc Santa Clarita CA 07/2023 04/2024
Davinci Wealth Management, Inc. Valencia CA 10/2023 09/2024
Secure Investment Management, Llc Los Angeles CA 11/2024 04/2025
National Life Group Los Angeles CA 06/2025 08/2025
Equity Services, Inc. Los Angeles CA 05/2025 08/2025
Equitable Advisors, Llc Los Angeles CA 10/2025 11/2025
Western & Southern Life Cerritos CA 09/2025 11/2025
Allstate Financial Services, Llc Los Angeles CA 08/2022 06/2023
Mml Investors Services, Llc Los Angeles CA 01/2026 02/2026
Massmutual Life Insurance Co Los Angeles CA 12/2025 02/2026
Lenox Advisors Los Angeles CA 12/2025 02/2026
Esi Financial Advisors Los Angeles CA 06/2025 08/2025
Unemployed Los Angeles CA 05/2025 05/2025
Unemployed Los Angeles CA 08/2022 08/2022
Lpl Enterprise Llc Sherman Oaks CA 02/2026 Present
  • 01/2013 → 07/2022
    Western International Securities, Inc.
    Pasadena, CA
  • 07/2023 → 04/2024
    Santa Clarita, CA
  • 10/2023 → 09/2024
    Davinci Wealth Management, Inc.
    Valencia, CA
  • 11/2024 → 04/2025
    Los Angeles, CA
  • 06/2025 → 08/2025
    National Life Group
    Los Angeles, CA
  • 05/2025 → 08/2025
    Los Angeles, CA
  • 10/2025 → 11/2025
    Los Angeles, CA
  • 09/2025 → 11/2025
    Western & Southern Life
    Cerritos, CA
  • 08/2022 → 06/2023
    Allstate Financial Services, Llc
    Los Angeles, CA
  • 01/2026 → 02/2026
    Los Angeles, CA
  • 12/2025 → 02/2026
    Massmutual Life Insurance Co
    Los Angeles, CA
  • 12/2025 → 02/2026
    Lenox Advisors
    Los Angeles, CA
  • 06/2025 → 08/2025
    Esi Financial Advisors
    Los Angeles, CA
  • 05/2025 → 05/2025
    Unemployed
    Los Angeles, CA
  • 08/2022 → 08/2022
    Unemployed
    Los Angeles, CA
  • 02/2026 → Present
    Sherman Oaks, CA
Previous Registrations
Other Businesses

1. 02/11/2026 - Spencer Miller N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Los Angeles, CA - INV REL - Start Date: 02/11/2026 - 160 Hrs/Mth - 160 Hrs During Trading 2. 02/11/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Los Angeles, CA - INV REL - Start Date: 02/11/2026 - 160 Hrs/Mth - 160 Hrs During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-28
  • S66 Uniform Combined State Law Examination
    2007-12-28
Designations
Other Names
  • Spencer S. Miller

View on SEC IAPD

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