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Brian Michael Frost

LPl Financial LLC

Santa Rosa, 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 2024-12-03
  • CA RA
    APPROVED
    Since 2024-12-03

Branch Locations

703 2Nd St Suite 110, Santa Rosa, CA 95404 • 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
Sorrento Pacific Financial, Llc San Diego CA 09/2011 11/2018
Lincoln Financial Advisors Santa Rosa CA 11/2018 12/2024
Lpl Financial Santa Rosa CA 12/2024 Present
  • 09/2011 → 11/2018
    Sorrento Pacific Financial, Llc
    San Diego, CA
  • 11/2018 → 12/2024
    Lincoln Financial Advisors
    Santa Rosa, CA
  • 12/2024 → Present
    Lpl Financial
    Santa Rosa, CA
Previous Registrations
  • 2018-11-08 → 2024-12-03
    Osaic Fa, Inc.
    San Ramon, CA
    Santa Rosa, CA
    Santa Rosa, CA
  • 2011-09-16 → 2018-11-08
    Sorrento Pacific Financial, Llc
    Santa Rosa, CA
    Gualala, CA
    Healdsburg, CA
    Guerneville, CA
    Santa Rosa, CA
    Clearlake, CA
    Middletown, CA
    Sonoma, CA
    Lakeport, CA
    Kelseyville, CA
    Ukiah, CA
    Upper Lake, CA
    Petaluma, CA
    Sebastopol, CA
    Yountville, CA
    St Helena, CA
    Larkspur, CA
    Petaluma, CA
    San Rafael, CA
    San Rafael, CA
    San Anselmo, CA
    San Francisco, CA
    Mill Valley, CA
    Calistoga, CA
    Sausolito, CA
    Rohnert Park, CA
    Mill Valley, CA
    American Canyon, CA
    Redwood, CA
    San Rafeal, CA
    San Rafael, CA
    Novato, CA
    Napa, CA
    Napa, CA
  • 2010-06-08 → 2011-09-07
    Santa Rosa, CA
Other Businesses

1- 11/2024 / Frost Financial / DBA for LPL Business (entity for LPL business) / Investment Related / 200 hrs mth / 8 hrs during trading / At reported business location(s) 2- 11/2024 / WEST COUNTY NET INC / For-Profit Board Member / Not Investment Related / 1 hr mth / 0 hrs during trading / Santa Rosa, CA / Start date: 01/01/2017 3 - 11/2024 / Real Estate Rental / Real Estate Rental / Investment Related / 1 hr mth / 0 hrs during trading / Santa Rosa, CA / Start date: 09/01/2020

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-04
  • S66 Uniform Combined State Law Examination
    2010-06-04

View on SEC IAPD

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