Eric Paul Wasserman

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-09-22
TX	RA	APPROVED	2022-09-21

CA RA
APPROVED

Since 2022-09-22
TX RA
APPROVED

Since 2022-09-21

Branch Locations

549 Old Mammoth Rd., Ste. 12, Mammoth Lakes, CA 93546 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Financial Network, Llc	Mammoth Lakes	CA	08/2014	09/2022
Lpl Financial Llc	Mammoth Lakes	CA	09/2022	Present

08/2014 → 09/2022

Wells Fargo Advisors Financial Network, Llc

Mammoth Lakes, CA
09/2022 → Present

Lpl Financial Llc

Mammoth Lakes, CA

Previous Registrations

2014-10-06 → 2022-09-27

Wells Fargo Advisors Financial Network, Llc

Mammoth Lakes, CA

Mammoth Lakes, CA

Other Businesses

1) 09/17/2022 - Mammoth Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 09/2014 2) 09/17/2022 - VANDALAY INDUSTRIES LLC - Real Estate Rental - Owner - Inv Rel - Mammoth Lakes, CA - Start: 06/2020 3) 09/17/2022 - MAMMOUTH ROCKS LLC - For-Profit Business - Inv Rel - Mammoth Lakes, CA - Start: 01/2014 4) 10/13/2023 - Orion Capital - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/10/2023 - 240 Hours Per Month/ 35 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-02-23
S63	Uniform Securities Agent State Law Examination	1994-12-19

S65 Uniform Investment Adviser Law Examination

2015-02-23
S63 Uniform Securities Agent State Law Examination

1994-12-19

View on SEC IAPD