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Samuel Darden

LPl Financial LLC

Aliso Viejo, CA

CRD 3133075

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-13
CA RA APPROVED 2020-05-14
  • TX RA
    APPROVED_RES
    Since 2021-04-13
  • CA RA
    APPROVED
    Since 2020-05-14

Branch Locations

Aliso Viejo, CA • 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
Trilogy Financial Services, Inc. Irvine CA 10/2013 07/2018
National Planning Corporation Irvine CA 11/2013 11/2017
Trilogy Capital, Inc. Irvine CA 06/2016 04/2020
Lpl Financial, Llc Aliso Viejo CA 11/2017 Present
  • 10/2013 → 07/2018
    Trilogy Financial Services, Inc.
    Irvine, CA
  • 11/2013 → 11/2017
    National Planning Corporation
    Irvine, CA
  • 06/2016 → 04/2020
    Trilogy Capital, Inc.
    Irvine, CA
  • 11/2017 → Present
    Lpl Financial, Llc
    Aliso Viejo, CA
Previous Registrations
  • 2016-07-07 → 2020-05-11
    Trilogy Capital, Inc.
    Irvine, CA
  • 2016-06-10 → 2017-11-29
    National Planning Corporation
    Irvine, CA
Other Businesses

1. 7/31/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-05
S63 Uniform Securities Agent State Law Examination 2014-01-10
  • S65 Uniform Investment Adviser Law Examination
    2016-05-05
  • S63 Uniform Securities Agent State Law Examination
    2014-01-10

View on SEC IAPD

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