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Susan Louie Leong

LPl Financial LLC

San Diego, CA

Gig Harbor, WA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2024-09-06
CA RA APPROVED 2022-10-24
TX RA APPROVED 2022-10-24
  • WA RA
    APPROVED
    Since 2024-09-06
  • CA RA
    APPROVED
    Since 2022-10-24
  • TX RA
    APPROVED
    Since 2022-10-24

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Gig Harbor, WA • 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
Wedbush Securities Inc. Los Angeles CA 05/2017 07/2022
Self-Employed Los Angeles CA 11/2016 05/2017
Zas Zou Business Services, Inc. El Segundo CA 05/2016 10/2016
Lpl Financial Llc Lomita CA 07/2022 Present
  • 05/2017 → 07/2022
    Wedbush Securities Inc.
    Los Angeles, CA
  • 11/2016 → 05/2017
    Self-Employed
    Los Angeles, CA
  • 05/2016 → 10/2016
    Zas Zou Business Services, Inc.
    El Segundo, CA
  • 07/2022 → Present
    Lpl Financial Llc
    Lomita, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-10-24
S66 Uniform Combined State Law Examination 2017-10-20
S63 Uniform Securities Agent State Law Examination 1991-10-15
  • S65 Uniform Investment Adviser Law Examination
    2022-10-24
  • S66 Uniform Combined State Law Examination
    2017-10-20
  • S63 Uniform Securities Agent State Law Examination
    1991-10-15

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
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