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Christopher Lee Sommer

LPl Financial LLC

Fountain Valley, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-08-10
  • CA RA
    APPROVED
    Since 2009-08-10

Branch Locations

18837 Brookhurst Ste Ste 107, Fountain Valley, CA 92708 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Fountain Valley CA 08/2009 Present
  • 08/2009 → Present
    Lpl Financial
    Fountain Valley, CA
Previous Registrations
  • 2009-05-02 → 2009-08-12
    Chase Investment Services Corp.
    Fountain Valley, CA
    Fountain Valley, CA
  • 2006-02-21 → 2009-05-02
    Wamu Investments, Inc.
    Fountain Valley, CA
    Fountain Valley, CA
    Fountain Valley, CA
Other Businesses

1. 08/10/2009 - RENTAL PROPERTIES (4 IN SURPRISE, AZ), (4 IN SALT LAKE CITY, UT) 2. 08/22/2011 - DBA ONLY - BENCHMARK WEALTH MANAGEMENT.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-05-28
  • S63 Uniform Securities Agent State Law Examination
    1993-05-28

View on SEC IAPD

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PERENNIAL FINANCIAL SERVICES
WELLS FARGO CLEARING SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EDWARD JONES
OSAIC INSTITUTIONS, INC.

Other Investors

EDWIN VAN ES
GABRIEL MARTIN
Blal Said
ELIJAH GRANT GOBLE
CHARLOTTE HUANG
WILLIAM ARTHUR OSLAND
JEFFERY GR GOBLE
GIESELLA ANNE EARLEY

Other Offices

CITIGROUP GLOBAL MARKETS INC. · Fountain Valley, CA
CITIGROUP GLOBAL MARKETS INC. · Fountain Valley, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FOUNTAIN VALLEY, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · Fountain Valley, CA
PERENNIAL FINANCIAL SERVICES · Fountain Valley, CA
WELLS FARGO CLEARING SERVICES, LLC · FOUNTAIN VALLEY, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fountain Valley, CA
LPL FINANCIAL LLC · FOUNTAIN VALLEY, CA

More in Fountain Valley, CA

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