Gabriel Ayala

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
CA	RA	APPROVED	2025-01-09
TX	RA	APPROVED_RES	2013-05-08

CA RA
APPROVED

Since 2025-01-09
TX RA
APPROVED_RES

Since 2013-05-08

Branch Locations

Fullerton, CA • United States

Disclosures

1 disclosure category 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Linsco/Private Ledger Corp.	Anaheim	CA	05/2005	Present

05/2005 → Present

Linsco/Private Ledger Corp.

Anaheim, CA

Previous Registrations

2004-08-11 → 2005-03-04

Essex National Securities, Llc

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-08-04
S63	Uniform Securities Agent State Law Examination	1993-03-18

S65 Uniform Investment Adviser Law Examination

2004-08-04
S63 Uniform Securities Agent State Law Examination

1993-03-18

Other Names

Gabe Ayala

View on SEC IAPD