Cleveland Ashley

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2013 → 11/2021
  U.S. Bancorp Investments, Inc.
  Yuba City, CA
• 12/2021 → 11/2024
  Dss Americafirst
  Granite Bay, CA
• 12/2021 → 03/2022
  Westpark Capital
  Granite Bay, CA
• 03/2022 → 12/2025
  Andes Capital Group, Llc
  Los Angeles, CA
• 01/2026 → Present
  Lpl Financial
  Folsom, CA
• 01/2026 → Present
  Safe Credit Union
  Folsom, CA

Previous Registrations

• 2022-03-04 → 2024-11-01
  Americafirst Wealth Management, Inc.
  West Henrietta, NY
• 2013-05-30 → 2021-11-12
  U.S. Bancorp Investments, Inc.
  Colfax, CA
  Corning, CA
  Paradise, CA
  Chico, CA
  Oroville, CA
  Yuba City, CA
  Colusa, CA
  Williams, CA
  Willows, CA
  Chico, CA
  Paradise, CA
  Chico, CA
  Oroville, CA
  Corning, CA
  Gridley, CA
  Oroville, CA
  Paradise, CA
  Chico, CA
  Chico, CA
  Corning, CA
• 2011-01-03 → 2013-06-04
  Wells Fargo Clearing Services, Llc
  Santa Rosa, CA
  Yuba City, CA
  Roseville, CA
  Yuba City, CA
  Vacaville, CA
• 2010-04-27 → 2011-01-03
  Wells Fargo Investments, Llc
  Yuba City, CA
• 2007-06-01 → 2010-05-10
  Wells Fargo Clearing Services, Llc
  Gold River, CA
  Roseville, CA
  Roseville, CA
• 2005-09-05 → 2007-05-07
  Wells Fargo Investments, Llc
  Sacramento, CA
  Sacramento, CA

Other Businesses

1. "Investment products and services are offered through LPL Financial LLC using the DBA/trade name SAFE FINANCIAL SERVICES - Inv Rel - At Reported Business Location (s) - 01/2026"

Exams

• S66 Uniform Combined State Law Examination
  2005-09-01