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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-05-07
  • CA RA
    APPROVED
    Since 2019-05-07

Branch Locations

Big Bear Lake, CA • United States

3366 N Torrey Pines Ct Ste 314, La Jolla, CA 92037 • 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
Wells Fargo Advisors Llc Los Angels CA 10/2010 11/2016
Wells Fargo Clearing Services, Llc Los Angels CA 11/2016 05/2019
Lpl Financial Llc San Diego CA 05/2019 Present
Previous Registrations
  • 2010-10-05 → 2019-05-06
    Los Angeles, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
  • 2009-05-02 → 2010-10-01
    Chase Investment Services Corp.
    Poway, CA
    San Diego, CA
    San Diego, CA
  • 2005-09-12 → 2009-05-02
    Wamu Investments, Inc.
    San Diego, CA
    San Diego, CA
    Poway, CA
    San Diego, CA
    La Mesa, CA
    San Diego, CA
    San Diego, CA
  • 2005-03-16 → 2005-08-25
    San Diego, CA
Other Businesses

1) 5/2/2019 - Non-Variable Insurance - Christian Chasey - San Diego, CA 2) 12/31/2020 - Chasey Wealth Managment - DBA: Ridgecrest Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/1/2020 - 160 Hours Per Month/80 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-15
  • S66 Uniform Combined State Law Examination
    2005-03-15
Designations

View on SEC IAPD

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