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Paul Christopher Firth

LPl Financial LLC

Ramona, CA

CRD 2258921

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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:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-07-26
  • CA RA
    APPROVED
    Since 2024-07-26

Branch Locations

Ramona, CA • 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 Solana Beach CA 05/2003 07/2024
Lpl Financial Romona CA 07/2024 Present
Previous Registrations
  • 2006-11-21 → 2024-08-26
    Wedbush Securities Inc.
    Solana Beach, CA
    San Diego, CA
    Pasadena, CA
    Ramona, CA
  • 1997-07-08 → 2003-05-09
    Prudential Equity Group, Llc
    San Diego, CA
Other Businesses

1. 06/24/2024- Firth Capital Partners, LLC- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-27
S63 Uniform Securities Agent State Law Examination 1992-08-11
  • S65 Uniform Investment Adviser Law Examination
    1992-08-27
  • S63 Uniform Securities Agent State Law Examination
    1992-08-11
Other Names
  • Paul Firth

View on SEC IAPD

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