Carlina Phan

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-05-15

CA RA
APPROVED

Since 2025-05-15

Branch Locations

1790 North Broadway, Walnut Creek, CA 94596 • United States

332 West El Camino Real, Sunnyvale, CA 94087 • 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
Wells Fargo Bank Na	Hayward	CA	09/2016	12/2020
Wells Fargo Clearing Services Llc	Hayward	CA	08/2019	12/2020
T4	Fremont	CA	08/2015	10/2016
Cuso Financial Services, Lp	San Diego	CA	03/2021	05/2025
Patelco Credit Union	Dublin	CA	03/2021	Present
Lpl Financial Llc	Walnut Creek	CA	05/2025	Present

09/2016 → 12/2020

Wells Fargo Bank Na

Hayward, CA
08/2019 → 12/2020

Wells Fargo Clearing Services Llc

Hayward, CA
08/2015 → 10/2016

T4

Fremont, CA
03/2021 → 05/2025

Cuso Financial Services, Lp

San Diego, CA
03/2021 → Present

Patelco Credit Union

Dublin, CA
05/2025 → Present

Lpl Financial Llc

Walnut Creek, CA

Previous Registrations

2022-06-14 → 2025-05-15

Cuso Financial Services, L.P.

Dublin, CA

Walnut Creek, CA

Other Businesses

1. 05/15/2025- Patelco Financial Solutions- DBA for LPL Business- INV Related- At Reported Business Location(s)- Start date 04/23/2025- 160 Hours Per Month- 160 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-06-13
S63	Uniform Securities Agent State Law Examination	2020-01-24

S66 Uniform Combined State Law Examination

2022-06-13
S63 Uniform Securities Agent State Law Examination

2020-01-24

View on SEC IAPD