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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-05
TX RA APPROVED_RES 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05
  • TX RA
    APPROVED_RES
    Since 2025-06-05

Branch Locations

1990 N California Blvd Fl 8Th, Walnut Creek, CA 94596 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Western International Securities, Inc. Pasadena CA 05/2007 06/2025
Lpl Financial Llc Campbell CA 06/2025 Present
  • 05/2007 → 06/2025
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Campbell, CA
Previous Registrations
  • 2007-07-30 → 2025-06-05
    Western International Securities, Inc.
    Pleasant Hill, CA
    Campbell, CA
    Walnut Creek, CA
  • 2006-01-23 → 2007-05-14
    First Allied Securities, Inc.
    Walnut Creek, CA
    Walnut Creek, CA
Other Businesses

1. 06/05/2025- Mark Larkin- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 03/28/2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-28
S63 Uniform Securities Agent State Law Examination 1990-01-26
  • S65 Uniform Investment Adviser Law Examination
    1998-12-28
  • S63 Uniform Securities Agent State Law Examination
    1990-01-26

View on SEC IAPD

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