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Shea Dawn Allen

LPl Financial LLC

Los Angeles, 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 2024-12-03
TX RA APPROVED 2024-12-03
  • CA RA
    APPROVED
    Since 2024-12-03
  • TX RA
    APPROVED
    Since 2024-12-03

Branch Locations

6767 Forest Lawn Dr. Ste 120, Los Angeles, CA 90068 • 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
Commonwealth Financial Network San Diego CA 08/2015 12/2024
Lpl Financial Llc Los Angeles CA 12/2024 Present
Previous Registrations
Other Businesses

1) 11/2024- Innovative Wealth Strategies - DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business - start date 12/2024 2) 11/2024- Non-Variable Insurance- Agent selling Fixed insurance - Inv. Related- Los Angeles, CA - start date 4/27/2022- 0hrs/mth

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2018-05-25
  • S63 Uniform Securities Agent State Law Examination
    2018-05-25
Designations
Other Names
  • Shea Dawn Allen
  • Shea Dawn Putman
  • Sherrie Dawn Putman
  • Sherrie Dawn Sell
  • Sherrie Allen
  • Sherrie Dawn Allen

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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