Brian David Pedroza

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2014-05-06

CA RA
APPROVED

Since 2014-05-06

Branch Locations

Rancho Cucamonga, CA • United States

11930 Foothill Blvd, Rancho Cucamonga, CA 91739 • United States

1395 S Grand Ave, Ste 140, Glendora, CA 91740 • United States

255 S Riverside Ave, Rialto, CA 92376 • United States

7182 Beverly Blvd, Los Angeles, CA 90036 • United States

404 E Hungington Dr, Monrovia, CA 91016 • United States

368 E Vanderbilt Way, San Bernardino, CA 92408 • United States

5030 Arlington Ave, Riverside, CA 92504 • 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

Organization	City	State	From	To
Lpl Financial Llc	Rancho Cucamonga	CA	05/2014	Present
Rancho Wealth Management	Rancho Cucamonga	CA	12/2015	07/2020

05/2014 → Present

Lpl Financial Llc

Rancho Cucamonga, CA
12/2015 → 07/2020

Rancho Wealth Management

Rancho Cucamonga, CA

Other Businesses

1. 09/09/2021 - No Business Name - Investment Related - 6070 Summit Ln Unit A, Rancho Cucamonga, CA 91739 - Real Estate Rental - Start Date: 09/06/2021 - 2 Hours Per Month/0 Hours During Securities Trading - Own a guest house we are going to rent 2. 05/17/2023 - WHB Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/01/2023 - 40 Hours Per Month/ 40 Hours During Securities Trading 3. 05/14/2024 - Banner Wealth & Investment Services - DBA for LPL Business (entity for LPL business) - 11930 E FOOTHILLS BLVD, RANCHO CUCAMONGA, CA 91739- Inv. Related - Start Date 05/17/2024 - 160hrs/mth - 120hrs DT 4. 05/14/2024 - Banner Investment Services - DBA for LPL Business (entity for LPL business) - 11930 E FOOTHILL BLVD, RANCHO CUCAMONGA, CA 91739 - Inv. Related - Start Date 05/10/2024 - 160hrs/mth - 120hrs DT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-11-20
S63	Uniform Securities Agent State Law Examination	2011-11-23

S66 Uniform Combined State Law Examination

2013-11-20
S63 Uniform Securities Agent State Law Examination

2011-11-23

Other Names

Brian Pedroza

View on SEC IAPD