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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-15
  • CA RA
    APPROVED
    Since 2025-05-15

Branch Locations

2979 El Camino Real, Tustin, CA 92782 • United States

28121 Crown Valley Parkway Suite K, Laguna Niguel, CA 92677 • 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
United States Navy San Diego CA 09/1997 05/2025
Wescom Financial Services, Llc Pasadena CA 11/2016 Present
Cuso Financial Services, Lp San Diego CA 01/2023 05/2025
Lpl Financial Llc Tustin CA 05/2025 Present
  • 09/1997 → 05/2025
    United States Navy
    San Diego, CA
  • 11/2016 → Present
    Wescom Financial Services, Llc
    Pasadena, CA
  • 01/2023 → 05/2025
    Cuso Financial Services, Lp
    San Diego, CA
  • 05/2025 → Present
    Tustin, CA
Previous Registrations
  • 2023-01-13 → 2025-05-15
    Cuso Financial Services, L.P.
    San Diego, CA
    Tustin, CA
    Laguna Niguel, CA
    Laguna Niguel,, CA
  • 2016-11-23 → 2023-02-06
    Wescom Financial Services
    Pasadena, CA
    Laguna Niguel, CA
    Tustin, CA
  • 2015-12-10 → 2016-11-29
    Huntington Beach, CA
    Mission Viejo, CA
  • 2013-03-20 → 2015-11-20
    Mission Viejo, CA
    Westminster, CA
  • 2011-11-03 → 2013-03-05
    Rancho Santa Margarita, CA
    Rancho Santa Margarita, CA
    Newport Beach, CA
  • 2011-01-03 → 2011-09-27
    Laguna Niguel, CA
    Laguna Niguel, CA
    Irvine, CA
  • 2007-08-28 → 2011-01-03
    Wells Fargo Investments, Llc
    Laguna Beach, CA
    Laguna Niguel, CA
    Laguna Niguel, CA
Other Businesses

1- 05/15/2025 - Wescom Wealth Management - DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 11/01/2016 - 160 hours per month/ 80 hours during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-27
  • S66 Uniform Combined State Law Examination
    2007-08-27
Other Names
  • Robert Michael Garcia
  • Robert Michael Garcia
  • Robert M Garcia
  • Robert Michael Garcia

View on SEC IAPD

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