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Arthur Schmidt Felix

LPl Financial LLC

Mission Viejo, 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 2025-05-08
TX RA APPROVED 2025-05-08
  • CA RA
    APPROVED
    Since 2025-05-08
  • TX RA
    APPROVED
    Since 2025-05-08

Branch Locations

26141 Marguerite Pkwy Ste A, Mission Viejo, CA 92692 • 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
J.P. Morgan Securities Llc Costa Mesa CA 03/2015 03/2020
Ameriprise Financial Services, Inc Aliso Viejo CA 03/2020 03/2020
Ameriprise Financial Services, Llc Mission Viejo CA 03/2020 05/2025
Lpl Financial Mission Viejo CA 05/2025 Present
Previous Registrations
  • 2020-03-06 → 2025-05-29
    Ameriprise Financial Services, Llc
    Mission Viejo, CA
    Laguna Niguel, CA
  • 2015-03-12 → 2020-03-17
    J.P. Morgan Securities Llc
    Newport Beach, CA
    Costa Mesa, CA
    Newport Beach, CA
    Lake Forest, CA
    Newport Beach, CA
  • 2009-06-01 → 2015-03-12
    Morgan Stanley
    Long Beach, CA
    Long Beach, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Long Beach, CA
  • 2005-10-24 → 2007-04-02
    Morgan Stanley Dw Inc.
    Long Beach, CA
    Long Beach, CA
Other Businesses

1- 11/13/2025 - Amplify Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/11/2025 - 160 hours per month/ 80 hours during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-21
S63 Uniform Securities Agent State Law Examination 2004-12-16
  • S66 Uniform Combined State Law Examination
    2005-10-21
  • S63 Uniform Securities Agent State Law Examination
    2004-12-16
Other Names
  • Arthur Felix
  • Art Felix

View on SEC IAPD

Other Firms

EDWARD JONES
J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
PFS INVESTMENTS INC.
CETERA INVESTMENT ADVISERS LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
POINT WEST ASSET MANAGEMENT LLC
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

Brian Tracy Lam
Robert Joseph Brown
STEVEN DAVID SHIELDS
Karim A. Mekhail
Logan S. Sandhu
WESLEY GARY GUNTER
Carmelo Anthony Battaglia
WILLIAM RONALD EDDE

Other Offices

EDWARD JONES · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA
WELLS FARGO CLEARING SERVICES, LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
CETERA INVESTMENT ADVISERS LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA

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