John Bernard Anzaldua

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

• 05/2015 → Present
  Lpl Financial, Llc
  Santa Cruz, CA

Previous Registrations

• 2015-06-05 → 2016-07-21
  Strategic Wealth Advisors Group
  Campbell, CA
• 2010-06-03 → 2015-06-03
  U.S. Bancorp Investments, Inc.
  Campbell, CA
  Campbell, CA
  Campbell, CA
  Santa Clara, CA
  Santa Cruz, CA
  Los Gatos, CA
  Gilroy, CA
  Scotts Valley, CA
  Salinas, CA
  Salinas, CA
  Soquel, CA
  Aptos, CA
  Freedom, CA
  Santa Cruz, CA
  San Jose, CA
  Campbell, CA
• 2009-05-02 → 2010-05-18
  Chase Investment Services Corp.
  Scotts Valley, CA
  Santa Cruz, CA
• 2006-12-18 → 2009-05-02
  Wamu Investments, Inc.
  Scotts Valley, CA
  Santa Cruz, CA
• 2006-01-04 → 2006-11-17
  Citicorp Investment Services
  Long Island City, NY
  Watsonville, CA
  Capitola, CA
• 2002-11-05 → 2004-01-26
  Wells Fargo Investments, Llc
  Sunnyvale, CA

Other Businesses

1. 05/29/2015 - BIG TREES WEALTH MANAGEMENT/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ SAN MATEO, CA 2. 05/29/2015 - STRATEGIC WEALTH ADVISORS GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ SAN MATEO, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-01-13
• S63 Uniform Securities Agent State Law Examination
  1991-01-17