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Helen Mary Middlebrook

LPl Financial LLC

Thousand Oaks, 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 2022-02-08
  • CA RA
    APPROVED
    Since 2022-02-08

Branch Locations

123 Hodencamp Rd; Ste 204, Thousand Oaks, CA 91360 • 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
Waddell & Reed Thousand Oaks CA 09/2015 06/2019
Waddell & Reed Thousand Oaks CA 06/2020 07/2021
John Miller Thousand Oaks CA 06/2020 07/2021
Unemployed Moorpark CA 06/2019 06/2020
Lpl Financial Llc Thousand Oaks CA 07/2021 Present
  • 09/2015 → 06/2019
    Waddell & Reed
    Thousand Oaks, CA
  • 06/2020 → 07/2021
    Waddell & Reed
    Thousand Oaks, CA
  • 06/2020 → 07/2021
    John Miller
    Thousand Oaks, CA
  • 06/2019 → 06/2020
    Unemployed
    Moorpark, CA
  • 07/2021 → Present
    Lpl Financial Llc
    Thousand Oaks, CA
Other Businesses

1- 01/2021 / Miller & Associates Financial Solutions / DBA for LPL Business (entity for LPL business) / Investment Related / Thousand Oaks, CA 91360

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-05
S63 Uniform Securities Agent State Law Examination 2021-04-27
  • S66 Uniform Combined State Law Examination
    2022-02-05
  • S63 Uniform Securities Agent State Law Examination
    2021-04-27

View on SEC IAPD

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Other Investors

ERIK NICHOLAS HAGGE
DELLON STOUT BARRY
Baker Thomas Burchfield
CINDY BALL TOSHIE
BRADLEY JAMES LUKENS
ANDREW LOUIS TOSHIE
KURT ALLEN WESTON
Todd Augustine

Other Offices

IBN ASSET MANAGEMENT, LLC · THOUSAND OAKS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Thousand Oaks, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Thousand Oaks, CA
LPL FINANCIAL LLC · THOUSAND OAKS, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · THOUSAND OAKS, CA
STRATEGIC FINANCIAL · THOUSAND OAKS, CA
GOLD COAST SECURITIES, INC. · THOUSAND OAKS, CA
GOLD COAST SECURITIES, INC. · THOUSAND OAKS, CA

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