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Winnie Yuen Yee Leong

LPl Financial LLC

Fullerton, 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 2017-02-21
  • CA RA
    APPROVED
    Since 2017-02-21

Branch Locations

1507 E. Chapman Ave., Fullerton, CA 92831 • 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
OrganizationCityStateFromTo
Securities America, Inc. Fullerton CA 12/2013 02/2017
Securities America Advisors, Inc. Fullerton CA 12/2013 02/2017
Lpl Financial Llc Alhambra CA 02/2017 Present
  • 12/2013 → 02/2017
    Securities America, Inc.
    Fullerton, CA
  • 12/2013 → 02/2017
    Securities America Advisors, Inc.
    Fullerton, CA
  • 02/2017 → Present
    Alhambra, CA
Previous Registrations
  • 2013-12-18 → 2017-03-07
    Securities America Advisors, Inc.
    Fullerton, CA
    Fullerton, CA
    Fullerton, CA
    Alhambra, CA
  • 2009-05-14 → 2013-12-18
    Fullerton, CA
    Glendale, CA
    Alhambra, CA
  • 2005-03-15 → 2009-04-02
    American General Financial Advisors, Inc.
    Glendale, CA
  • 2004-10-04 → 2009-02-23
    Woodland Hills, CA
    Woodland Hills, CA
    Glendale, CA
    Glendale, CA
  • 2000-05-25 → 2004-10-11
    Pasadena, CA
Other Businesses

1. 02/17/2017 - WINNIE LEONG ARTWORK/ OTHER - ARTIST/ 2%/ ALHAMBRA, CA 2. 02/17/2017 - INNOVATIVE SOLUTIONS INSURANCE SERVICES, LLC/ NON-VARIABLE INSURANCE/ 18%/ EL SEGUNDO, CA. 3. 6/28/2017 - Edison Risk - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 06/20/2017 - 2 Hours Per Month/1 Hour During Securities Trading. 4. 6/28/2017 - Word & Brown - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 11/01/2015 - 1 Hour Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-11
S63 Uniform Securities Agent State Law Examination 1995-09-07
  • S65 Uniform Investment Adviser Law Examination
    2000-05-11
  • S63 Uniform Securities Agent State Law Examination
    1995-09-07
Other Names
  • Winnie Yuen Leong
  • Winnie Leong

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