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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-06-24
CA RA APPROVED 2019-06-21
  • TX RA
    APPROVED_RES
    Since 2019-06-24
  • CA RA
    APPROVED
    Since 2019-06-21

Branch Locations

1440 Draper St Ste B, Kingsburg, CA 93631 • United States

1332 Draper Street, Ste E, Kingsburg, CA 93631 • 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
Foresters Advisory Services Llc San Jose CA 09/2014 06/2019
Foresters Financial Services San Jose CA 05/2016 06/2019
Lpl Financial, Llc Kingsburg CA 06/2019 Present
  • 09/2014 → 06/2019
    Foresters Advisory Services Llc
    San Jose, CA
  • 05/2016 → 06/2019
    Foresters Financial Services
    San Jose, CA
  • 06/2019 → Present
    Kingsburg, CA
Previous Registrations
  • 2014-09-05 → 2019-06-20
    Foresters Advisory Services, Llc
    San Jose, CA
Other Businesses

1. 10/01/2013 - RENTAL PROPERTY/ REAL ESTATE RENTAL/ INVESTMENT RELATED/ 0%/ 5633 CALMOR AVE, SAN JOSE, CA 95123-5709 2. 1/15/2021 - No Business Name - Investment Related - Bass Lake, CA 93604 - Real Estate Rental - Start Date: 1/6/2021 - 2 Hours Per Month/0 Hours During Securities Trading - Cabin will be rented on and off throughout year. 3. 08/26/2021 - Good Life Insurance Associates - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 08/30/2021 - 10 Hours Per Month/1 Hour During Securities Trading 4. 06/15/2023 - No Business Name - Not Investment Related - Kingsburg City Hall 1401 Draper St, Kingsburg, CA 93631 - Non-Profit Board Member - Start Date 05/15/2023 - 3 Hours Per Month/ 0 Hours During Securities Trading 5. 06/26/2023 - Nino Family Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/16/2023 - 40 Hours Per Month/ 40 Hours During Securities Trading 6. 11/07/2024 - Real Estate Rental - Investment Related - Kingsburg CA - Start Date 10/23/2024 - 1 Hour Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-08-30
S63 Uniform Securities Agent State Law Examination 2007-07-24
  • S65 Uniform Investment Adviser Law Examination
    2014-08-30
  • S63 Uniform Securities Agent State Law Examination
    2007-07-24

View on SEC IAPD

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