Oscar Lee Harrison

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2013 → 11/2016
  Sorrento Pacific Financial , Llc
  San Diego, CA
• 04/2013 → Present
  Fremont Bank
  Fremont, CA
• 02/2017 → Present
  Lpl Financial Llc
  Fremont, CA

Previous Registrations

• 2013-04-04 → 2016-11-15
  Sorrento Pacific Financial, Llc
  Fremont, CA
  Danville, CA
  San Francisco, CA
• 2012-10-12 → 2013-04-02
  Raymond James Financial Services Advisors, Inc
  Santa Ana, CA
• 2009-10-23 → 2012-08-07
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Beverly Hills, CA
  Torrance, CA
  Santa Monica, CA
  Los Angeles, CA
  Houston, TX
  Brea, CA
  Seal Beach, CA
• 2003-01-27 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Torrance, CA
  Los Angeles, CA
  Los Angeles, CA
  Houston, TX
  Houston, TX
• 2002-08-07 → 2003-01-28
  Bbva Compass Investment Solutions, Inc
  Houston , TX
• 2002-02-15 → 2002-08-06
  Morgan Stanley Dw Inc.
  Houston, TX

Other Businesses

1.01/16/2020; Investment products and services are offered through LPL Financial LLC using the DBA/trade name FB Investment Services; Investment Related; at Reported Business Location(s); Start Date 01/01/2020; 160hrs/mth; 80hrs during trading 2.08/31/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name The Harrison Group, FB Investment Services; Investment Related; at Reported Business Location(s); Start Date 09/01/2026; 10hrs/mth; 5hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-02-15
• S63 Uniform Securities Agent State Law Examination
  2000-08-18