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Uyen Nguyen Thuy Dao

LPl Enterprise, LLC

Buena Park, CA

Orange, CA

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-14
  • CA RA
    APPROVED
    Since 2024-11-14

Branch Locations

Buena Park, CA • United States

600 City Parkway West Suite 210, Orange, CA 92868 • 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
Pruco Securities, Llc. Sherman Oaks CA 03/2019 11/2024
Invia Robotics Westlake Village CA 02/2019 Present
Paysafe Westlake Village CA 02/2007 02/2019
Prudential Insurance Company Of America Sherman Oaks CA 09/2019 Present
Lpl Enterprise, Llc Sherman Oaks CA 11/2024 Present
  • 03/2019 → 11/2024
    Pruco Securities, Llc.
    Sherman Oaks, CA
  • 02/2019 → Present
    Invia Robotics
    Westlake Village, CA
  • 02/2007 → 02/2019
    Paysafe
    Westlake Village, CA
  • 09/2019 → Present
    Prudential Insurance Company Of America
    Sherman Oaks, CA
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Sherman Oaks, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-15
S63 Uniform Securities Agent State Law Examination 2019-09-07
  • S65 Uniform Investment Adviser Law Examination
    2021-04-15
  • S63 Uniform Securities Agent State Law Examination
    2019-09-07

View on SEC IAPD

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U.S. BANCORP ADVISORS, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
ASCENDANT CAPITAL MANAGEMENT

Other Investors

HARINNE LEE KIM
JOHN FRANKLIN WEBB
DAEWOO LEE
Claudia H Song
KYUNG HO CHOE
MATTHEW MINTAE KIM
CHRISTINE H KIM
SEONG YOUN CHO

Other Offices

APIIS WEALTH MANAGEMENT CORP. · BUENA PARK, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Buena Park, CA
ALLMERITS ASSET, LLC · BUENA PARK, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BUENA PARK, CA
J.P. MORGAN SECURITIES LLC · BUENA PARK, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Anaheim, CA
U.S. BANCORP ADVISORS, LLC · Buena Park, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · Buena Park, CA

More in Buena Park, CA

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