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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-06-05
CA RA APPROVED 2025-06-05
CO RA APPROVED 2025-06-05
IN RA APPROVED 2025-06-05
MN RA APPROVED 2025-06-05
TX RA APPROVED_RES 2025-06-05
UT RA APPROVED 2025-06-05
  • AZ RA
    APPROVED
    Since 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05
  • CO RA
    APPROVED
    Since 2025-06-05
  • IN RA
    APPROVED
    Since 2025-06-05
  • MN RA
    APPROVED
    Since 2025-06-05
  • TX RA
    APPROVED_RES
    Since 2025-06-05
  • UT RA
    APPROVED
    Since 2025-06-05

Branch Locations

400 Boyd St., Vacaville, CA 95688 • United States

1990 N California Blvd Fl 8Th, Walnut Creek, CA 94596 • United States

Disclosures

3 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 Yes
Employment History
OrganizationCityStateFromTo
Western International Securities, Inc. Pasadena CA 05/2008 06/2025
Lpl Financial Llc Vacaville CA 06/2025 Present
  • 05/2008 → 06/2025
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Vacaville, CA
Previous Registrations
  • 2008-09-04 → 2025-06-05
    Western International Securities, Inc.
    Pasadena, CA
    Sacramento, CA
    Vacaville, CA
    Sacramento, CA
    Vacaville, CA
    Campbell, CA
  • 2006-08-23 → 2008-06-06
    First Allied Securities, Inc.
    San Diego, CA
    Sacramento, CA
  • 2004-04-13 → 2004-11-16
    Investors Resources Group, Inc.
    Sacramento, CA
  • 2001-06-21 → 2004-05-10
    Sacramento, CA
Other Businesses

1. 06/05/2025- Lisa-Ann Nouchi- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 06/01/2022- 6 Hours Per Month- 6 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-08-21
S63 Uniform Securities Agent State Law Examination 1993-09-09
  • S65 Uniform Investment Adviser Law Examination
    1995-08-21
  • S63 Uniform Securities Agent State Law Examination
    1993-09-09
Other Names
  • Lisa Nouchi
  • Lisa-Ann T. Nouchi

View on SEC IAPD

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