Mario Orlando Vasquez

Current Employers

Employment History

• 10/2012 → 11/2016
  J.P. Morgan Securities Llc
  Laguna Hills, CA
• 11/2016 → Present
  Golden State Wealth Management, Llc
  Mission Viejo, CA
• 11/2016 → Present
  Lpl Financial, Llc
  Mission Viejo, CA

Previous Registrations

• 2012-10-01 → 2016-11-15
  J.P. Morgan Securities Llc
  Laguna Hills, CA
  Laguna Niguel, CA
  Ladera Ranch, CA
  Ladera Ranch, CA
• 2012-07-17 → 2012-10-01
  Chase Investment Services Corp.
  Laguna Hills, CA

Other Businesses

1. 11/8/2016 - GOLDEN STATE WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Time Spent 100%. 2. 11/15/2016 - Golden State Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 11/10/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in November 2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 11/15/2016 - Golden State Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/10/2016 - 180 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Golden State Wealth Management, an independent investment advisor firm. I started this business activity in November 2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 5/11/2017 - Laguna Pointe Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/05/2017 - 160 Hours Per Month/8 Hours During Securities Trading. 5. 5/15/2017 - Golden State Wealth Management, LLC - DBA: Laguna Pointe Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/05/2017 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in May 2017. I expect to spend approximately 160 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 3/17/2020 - No Business Name - Investment Related - Home Based & 25225 Derby Circle Laguna Hills, CA 92653 - Real Estate Rental - Start Date: 05/01/2020 - 5 Hours Per Month/0 Hours During Securities Trading - Purchased another primary property.

Exams

• S66 Uniform Combined State Law Examination
  2012-07-14
• S63 Uniform Securities Agent State Law Examination
  2007-12-07

Other Names

• Mario Vasquez