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Stephanie Marie Gotts

LPl Financial LLC

Whittier, CA

Whittier, CA

San Diego, 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 2021-12-16
  • CA RA
    APPROVED
    Since 2021-12-16

Branch Locations

13215 Penn St Suite 327, Whittier, CA 90602 • United States

13215 Penn St Suite 327, Whittier, CA 90602 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Securities America, Inc. Whittier CA 01/2021 04/2021
Securities America, Inc. Whittier CA 04/2021 12/2021
Whittier High School Whittier CA 08/2013 06/2017
Whittier High School Whittier CA 01/2015 06/2017
Intramural Sports At Cal State Fullerton Fullerton CA 08/2017 05/2018
City Of Whittier Whittier CA 03/2015 12/2020
Lpl Financial Llc Whittier CA 12/2021 Present
  • 01/2021 → 04/2021
    Securities America, Inc.
    Whittier, CA
  • 04/2021 → 12/2021
    Securities America, Inc.
    Whittier, CA
  • 08/2013 → 06/2017
    Whittier High School
    Whittier, CA
  • 01/2015 → 06/2017
    Whittier High School
    Whittier, CA
  • 08/2017 → 05/2018
    Intramural Sports At Cal State Fullerton
    Fullerton, CA
  • 03/2015 → 12/2020
    City Of Whittier
    Whittier, CA
  • 12/2021 → Present
    Lpl Financial Llc
    Whittier, CA
Other Businesses

1) 12/2021- Alpha & Omega Financial Solutions- DBA for LPL Business (entity for LPL business)- inv. related- Whittier CA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-12-01
S63 Uniform Securities Agent State Law Examination 2021-11-01
  • S65 Uniform Investment Adviser Law Examination
    2021-12-01
  • S63 Uniform Securities Agent State Law Examination
    2021-11-01

View on SEC IAPD

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Other Investors

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Rick A Murga
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Other Offices

CITIGROUP GLOBAL MARKETS INC. · Whittier, CA
J.P. MORGAN SECURITIES LLC · WHITTIER, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WHITTIER, CA
CETERA INVESTMENT ADVISERS LLC · WHITTIER, CA
LPL FINANCIAL LLC · WHITTIER, CA
GL TRUST, INC. · WHITTIER, CA
CETERA INVESTMENT ADVISERS LLC · WHITTIER, CA
LPL FINANCIAL LLC · WHITTIER, CA

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