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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2003-03-21
  • CA RA
    APPROVED
    Since 2003-03-21

Branch Locations

912 N Hollywood Way Ste D, Burbank, CA 91505-2815 • United States

6840 Eastern Ave Ste B, Bell Gardens, CA 90201 • United States

670 N. Rosemead Blvd, Pasadena, CA 91107 • United States

1285 North Lake Ave, Pasadena, CA 91104 • United States

Glendale, CA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Linsco/Private Ledger Burbank CA 03/2003 Present
  • 03/2003 → Present
    Linsco/Private Ledger
    Burbank, CA
Previous Registrations
  • 2003-04-23 → 2009-11-06
    The Estate Management Group, Inc.
    Valencia, CA
Other Businesses

1. 9/23/2008 / ARM SLING / CREATED AN ARM SLING TO HELP PEOPLE WHO HAVE PARALYZED THEIR ARM TO GET ACTIVE IN SPORTS AGAIN. SLING WILL BE MADE, BILLED AND SHIPPED BY COMPANY THAT SPECIALIZES IN HIGH IMPACT SPORTS EQUIPEMENT - TIME SPENT 2% 2. 10/14/2009 - NON-VARIABLE INSURANCE DBA, ALDRICH WEALTH MANAGEMENT GROUP, 5% OF TIME. 3. 1/7/2021 - Aldrich Wealth Management Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/11/2020 - 168 Hours Per Month/8 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-03-20
S63 Uniform Securities Agent State Law Examination 1997-12-22
  • S66 Uniform Combined State Law Examination
    2003-03-20
  • S63 Uniform Securities Agent State Law Examination
    1997-12-22
Other Names
  • Dan Aldrich

View on SEC IAPD

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