Best Investors Account Sign in
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-10-07
TX RA APPROVED 2024-10-04
  • CA RA
    APPROVED
    Since 2024-10-07
  • TX RA
    APPROVED
    Since 2024-10-04

Branch Locations

21253 Hawthorne Blvd Ste A-10, Torrance, CA 90503 • United States

Disclosures

2 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Wescom Financial Services, Llc Pasadena CA 02/2009 10/2023
Cuso Financial Services, Lp San Diego CA 01/2023 10/2023
Lpl Financial Torrence CA 11/2023 09/2024
Cetera Advisor Networks Llc El Segundo CA 09/2024 10/2024
Cetera Investment Advisers Llc Schaumburg IL 09/2024 10/2024
Lpl Financial Torrence CA 10/2024 Present
  • 02/2009 → 10/2023
    Wescom Financial Services, Llc
    Pasadena, CA
  • 01/2023 → 10/2023
    Cuso Financial Services, Lp
    San Diego, CA
  • 11/2023 → 09/2024
    Lpl Financial
    Torrence, CA
  • 09/2024 → 10/2024
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 09/2024 → 10/2024
    Schaumburg, IL
  • 10/2024 → Present
    Lpl Financial
    Torrence, CA
Previous Registrations
  • 2024-09-13 → 2024-10-09
    Torrance, CA
  • 2023-11-03 → 2024-09-19
    San Diego, CA
    Torrance, CA
    Torrance, CA
  • 2023-01-16 → 2023-10-17
    Cuso Financial Services, L.P.
    Hawthorne, CA
    Torrance, CA
    San Diego, CA
    Glendale, CA
    Torrance, CA
    Signal Hill, CA
  • 2008-06-03 → 2023-02-06
    Wescom Financial Services
    Signal Hill, CA
    San Pedro, CA
    Torrance, CA
    Hawthorne, CA
    Tustin, CA
    Oceanside, CA
    Anaheim, CA
    Signal Hill, CA
    Torrance, CA
    Irvine, CA
    Orange, CA
    Hawthorne, CA
    Culver City, CA
    Culver City, CA
    Glendale, CA
  • 2008-02-08 → 2008-05-22
    Wells Fargo Investments, Llc
    Los Angeles, CA
    Los Angeles, CA
  • 2007-09-05 → 2008-02-05
    Downey, CA
  • 2005-07-28 → 2007-04-04
    Uvest Financial Services Group, Inc.
    Alhambra, CA
    Alhambra, CA
    Houston, TX
Other Businesses

1- 10/2024 / Pathway Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 10/2024 / Rental Property / Real Estate Rental / Investment Related / 1 hr mth / Hutington Beach, CA / Start date: 06/01/2009 3- 10/2024 / Pathway Life Wealth Management Insurance Solutions / Non-Variable Insurance / Investment Related / 1 hr mth / Torrance, CA / Start date: 11/15/2023

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-24
S63 Uniform Securities Agent State Law Examination 1993-07-26
  • S66 Uniform Combined State Law Examination
    2008-01-24
  • S63 Uniform Securities Agent State Law Examination
    1993-07-26
Designations

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Torrance, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor