Jeffrey Weston Gorman

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-02-13
TX	RA	APPROVED_RES	2021-07-08

CA RA
APPROVED

Since 2025-02-13
TX RA
APPROVED_RES

Since 2021-07-08

Branch Locations

Bradley, CA • United States

215 W Franklin St, #312, Monterey, CA 93940 • 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

Organization	City	State	From	To
Lpl Financial Llc	Monterey	CA	06/2009	Present

06/2009 → Present

Lpl Financial Llc

Monterey, CA

Previous Registrations

2004-09-13 → 2009-06-23

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Monterey, CA

Carmel, CA
2002-12-06 → 2004-09-13

Morgan Stanley Dw Inc.

Monterey, CA
1998-02-19 → 2002-12-17

Ubs Financial Services Inc.

Carmel, CA

Other Businesses

1. 5/26/2017: Gorman Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/19/2009 - 200 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-12-22
S63	Uniform Securities Agent State Law Examination	1997-12-16

S65 Uniform Investment Adviser Law Examination

1997-12-22
S63 Uniform Securities Agent State Law Examination

1997-12-16

Other Names

Jeff Gorman

View on SEC IAPD