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Anna Daisy Leon

LPl Financial LLC

Walnut Creek, CA

Oakland, 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 2023-07-19
  • CA RA
    APPROVED
    Since 2023-07-19

Branch Locations

1333 N. California Blvd. Suite Sl10, Walnut Creek, CA 94596 • United States

3062 East 9Th Street, Oakland, CA 94601 • 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
Bmo Bank Na San Ramon CA 06/2012 Present
Bancwest Investment Services San Ramon CA 06/2012 Present
Lpl Financial Llc Walnut Creek CA 07/2023 Present
  • 06/2012 → Present
    Bmo Bank Na
    San Ramon, CA
  • 06/2012 → Present
    Bancwest Investment Services
    San Ramon, CA
  • 07/2023 → Present
    Lpl Financial Llc
    Walnut Creek, CA
Previous Registrations
  • 2010-06-15 → 2023-07-19
    Bancwest Investment Services, Inc.
    Sacramento, CA
    Walnut Creek, CA
    San Francisco, CA
    San Ramon, CA
    San Jose, CA
    Berkeley, CA
    Castro Valley, CA
    Danville, CA
    Dublin, CA
    El Cerrito, CA
    Fremont, CA
    Hayward, CA
    Hayward, CA
    Lafayette, CA
    Oakland, CA
    Oakland, CA
    Oakland, CA
    Pinole, CA
    San Leandro, CA
    San Leandro, CA
    San Lorenzo, CA
    San Ramon, CA
    Walnut Creek, CA
    Napa, CA
    Napa, CA
    San Jose, CA
    San Jose, CA
    Morgan Hill, CA
    Gilroy, CA
    San Jose, CA
    San Jose, CA
    Oakland, CA
    Berkeley, CA
    Pinole, CA
    Berkeley, CA
    El Cerrito, CA
    Sunnyvale, CA
    Walnut Creek, CA
    Los Altos, CA
    Omaha, NE
    Oakland, CA
  • 2010-02-09 → 2010-05-14
    Bancwest Investment Services, Inc.
    Sacramento, CA
Other Businesses

1. 06/29/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Advisor - Start Date 07/19/2023 - 160 Hours Per Month/ 8 Hours During Trading - Time Spent 100%

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-02-08
  • S66 Uniform Combined State Law Examination
    2010-02-08

View on SEC IAPD

Other Firms

USCF ADVISERS
BURTON ENRIGHT WELCH
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SAVANT WEALTH MANAGEMENT
ONE CAPITAL MANAGEMENT, LLC
ROCKEFELLER FINANCIAL LLC
OSAIC WEALTH, INC.

Other Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL
Sydney Irene Kovacs
DAVID ANTHONY ESPINEIRA
BENJAMIN ROSS PETERS
Annie Claire Klopstock
Alex Kyle Soderberg

Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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