Mathilda Spiers Waren

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-10-18

FL RA
APPROVED

Since 2023-10-18

Branch Locations

Dunedin, FL • 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

Organization	City	State	From	To
The Grateful Bean Coffee House	Chico	CA	07/2017	08/2019
County Of Santa Cruz-County Administrative Office	Santa Cruz	CA	11/2016	06/2017
California State University - Chico	Chico	CA	01/2017	05/2019
Cabrillo College	Aptos	CA	06/2015	07/2017
Axa Advisors, Llc	New York	NY	08/2019	06/2020
Equitable Advisors, Llc	New York	NY	08/2019	10/2023
Lpl Financial Llc	Richey	FL	10/2023	Present

07/2017 → 08/2019

The Grateful Bean Coffee House

Chico, CA
11/2016 → 06/2017

County Of Santa Cruz-County Administrative Office

Santa Cruz, CA
01/2017 → 05/2019

California State University - Chico

Chico, CA
06/2015 → 07/2017

Cabrillo College

Aptos, CA
08/2019 → 06/2020

Axa Advisors, Llc

New York, NY
08/2019 → 10/2023

Equitable Advisors, Llc

New York, NY
10/2023 → Present

Lpl Financial Llc

Richey, FL

Previous Registrations

2019-10-30 → 2023-10-19

Equitable Advisors, Llc

San Francisco, CA

Folsom, CA

Orlando, FL

Port Richey, FL

Other Businesses

1) 09/27/2023 - SUMMIT WEALTH STRATEGIES - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-10-22

S66 Uniform Combined State Law Examination

2019-10-22

Other Names

Mathilda Spiers

View on SEC IAPD