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Inactive

Daniel J Duffy

LPl Financial LLC

Brea, CA

Tustin, 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_RES 2024-11-15
  • CA RA
    APPROVED_RES
    Since 2024-11-15

Branch Locations

10 Pointe Dr. Ste 150, Brea, CA 92821 • United States

1422 Edinger Ave, Ste 220, Tustin, CA 92780 • 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
1 Track Management Fullerton CA 01/2008 Present
Lpl Financial Llc Brea CA 11/2024 Present
  • 01/2008 → Present
    1 Track Management
    Fullerton, CA
  • 11/2024 → Present
    Lpl Financial Llc
    Brea, CA

View on SEC IAPD

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