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Adam Gregory Mark Hartrum

LPl Financial LLC

Torrance, 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 2019-06-18
TX RA APPROVED 2019-06-17
  • CA RA
    APPROVED
    Since 2019-06-18
  • TX RA
    APPROVED
    Since 2019-06-17

Branch Locations

2790 Skypark Dr Ste 201, Torrance, CA 90505 • 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
Capital Brokerage Corporation Richmond VA 11/2012 09/2016
Centurion Capital Group, Inc. Concord CA 09/2013 09/2016
Assetmark Brokerage, Llc Concord CA 08/2014 09/2016
Assetmark Financial, Inc. Encino CA 08/2013 09/2016
Securities America Advisors Torrance CA 09/2016 05/2019
Securities America Inc Torrance CA 09/2016 05/2019
Lpl Financial, Llc Torrance CA 06/2019 Present
  • 11/2012 → 09/2016
    Capital Brokerage Corporation
    Richmond, VA
  • 09/2013 → 09/2016
    Centurion Capital Group, Inc.
    Concord, CA
  • 08/2014 → 09/2016
    Assetmark Brokerage, Llc
    Concord, CA
  • 08/2013 → 09/2016
    Assetmark Financial, Inc.
    Encino, CA
  • 09/2016 → 05/2019
    Securities America Advisors
    Torrance, CA
  • 09/2016 → 05/2019
    Securities America Inc
    Torrance, CA
  • 06/2019 → Present
    Lpl Financial, Llc
    Torrance, CA
Previous Registrations
  • 2016-09-19 → 2019-06-17
    Securities America Advisors, Inc.
    Torrance, CA
  • 2012-12-04 → 2016-10-13
    Assetmark, Inc.
    Concord, CA
  • 2012-05-10 → 2012-08-31
    Pathway Strategic Advisors
    Livermore, CA
    Folsom, CA
  • 2009-03-04 → 2012-05-07
    Niemann Capital Management Inc
    Scotts Valley, CA
  • 2002-09-10 → 2003-03-10
    Wells Fargo Clearing Services, Llc
    La Jolla, CA
Other Businesses

1)10/2018 - DBA for LPL Business(entity for LPL Business) - South Bay Asset Strategies - 100% - INVESTMENT RELATED - TORRANCE, CA 90505

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-07-02
S65 Uniform Investment Adviser Law Examination 2009-03-03
  • S63 Uniform Securities Agent State Law Examination
    2010-07-02
  • S65 Uniform Investment Adviser Law Examination
    2009-03-03
Other Names
  • Adam Greggory Mark Hartrum

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Torrance, CA
SOUTH BAY FINANCIAL PARTNERS · TORRANCE, CA
EP WEALTH ADVISORS · TORRANCE, CA
STRATOS WEALTH PARTNERS, LTD · Torrance, CA
EDWARD JONES · Torrance, CA
AMERIPRISE FINANCIAL SERVICES, LLC · TORRANCE, CA
LPL FINANCIAL LLC · TORRANCE, CA
EDWARD JONES · TORRANCE, CA

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