Sandip Singh Sehmi

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2009 → Present
  Lpl Financial Llc
  Irvine, CA

Previous Registrations

• 2006-10-13 → 2009-09-08
  Mutual Service Corporation
  Irvine, CA
  Irvine, CA
  Irvine, CA

Other Businesses

1. 2/17/2010: NO BUSINESS NAME - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 15% TIME SPENT - LIFE, TERM, HEALTH, WHOLE LIFE, NO EIAS, NO INSURANCE AGENCY. 2. 3/5/2010: CAVERSHAM RESOURCES - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - TIME SPENT 0% - I AM A 20% MEMBER OF AN LLC CALLED CAVERSHAM RESOURCES. THERE ARE 3 TOTAL MEMBERS OF THIS LLC. MY DAD, DALJIT SEHMI IS A 20% MEMBER AND TAJ GILLANI 60%. CAVERSHAM RESOURCES OWNS 25% OF QUALILTY LLC. THERE ARE 5 TOTAL PARTNERS IN QUALILTY LLC THAT OWN. 3. 9/29/2011: OC WEALTH ADVISORS - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE DBA - 100% TIME SPENT - NORMAL LPL ADVISOR ACTIVITIES AND NON VARIALBLE INSURANCE SALES. I AM A SOLE PROPRIETOR AND ONLY EMPLOYEE. I HANDLE ALL ASPECTS OF MY BUSINESS. 4. 5/21/2012: NO BUSINESS NAME - ACT IN A FIDUCIARY CAPACITY - 1% TIME SPENT - I AM LISTED AS THE SUCCESSOR TRUSTEE ON MY PARENTS TRUST. THE SEHMI FAMILY TRUST - DALJIT SEHMI & CHARANJEET SEHMI TTEE'S. THEY ARE MY PARENTS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-03-17
• S63 Uniform Securities Agent State Law Examination
  1998-11-16