Jose Sepulveda Diaz

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-05-21
CA	RA	APPROVED	2009-10-27

TX RA
APPROVED_RES

Since 2020-05-21
CA RA
APPROVED

Since 2009-10-27

Branch Locations

Modesto, 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

Organization	City	State	From	To
Lpl Financial	Modesto	CA	10/2009	Present

10/2009 → Present

Lpl Financial

Modesto, CA

Previous Registrations

2009-06-01 → 2009-11-18

Morgan Stanley

Modesto, CA

Modesto, CA
1997-07-08 → 2009-06-01

Citigroup Global Markets Inc.

Modesto, CA

Modesto, CA

Modesto, CA

Other Businesses

1. 1/3/2012: DELTA PACIFIC INVESTMENT MANAGEMENT - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 2. 11/11/2024 - Exclusive Insurance Brokerage - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 11/21/2024 - 10 Hours Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-30
S63	Uniform Securities Agent State Law Examination	1993-01-15

S65 Uniform Investment Adviser Law Examination

1994-09-30
S63 Uniform Securities Agent State Law Examination

1993-01-15

Other Names

Jose S Diaz

View on SEC IAPD