Kozue M Wang

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2019-11-13

CA RA
APPROVED

Since 2019-11-13

Branch Locations

565 San Antonio Road, Ste 21, Mountain View, CA 94040 • United States

160 W Santa Clara St, Ste 100, San Jose, CA 95113 • 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
Union Bank	Palo Alto	CA	08/2004	03/2019
Unionbanc Investment Services	Palo Alto	CA	03/2010	03/2019
Lpl Financial Llc	San Jose	CA	11/2019	Present
Fremont Bank	San Jose	CA	10/2019	Present
Unemploye	Saratoga	CA	03/2019	10/2019

08/2004 → 03/2019

Union Bank

Palo Alto, CA
03/2010 → 03/2019

Unionbanc Investment Services

Palo Alto, CA
11/2019 → Present

Lpl Financial Llc

San Jose, CA
10/2019 → Present

Fremont Bank

San Jose, CA
03/2019 → 10/2019

Unemploye

Saratoga, CA

Previous Registrations

2014-01-17 → 2019-04-11

U.S. Bancorp Advisors, Llc

Palo Alto, CA

Sunnyvale, CA

Other Businesses

1. 11/13/2019 - No Business Name - Investment Related - San Jose, CA 95130 - Real Estate Rental - Owner - Inv. Related - Started 8/16/2007 - 3 Hours Per Month - Time Spent 1%. 2. 11/13/2019 - No Business Name - Investment Related - Home Based - Real Estate - 5 Hours Per Month - Time Spent 1% - Active License Only. 3. 11/13/2019 - FREMONT BANK - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Private Banker - Started 10/07/2019 - - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 4. 11/13/2019 - FB Financial Services, A Division of Fremont Bank - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 5. 11/13/2019 - Cape Claude LLC - Investment Related - 4431 HAMILTON AVE SAN JOSE CA 95130 - Business Entity For Tax/Investment Purposes Only - 10 Hours Per Month - Time Spent 1% - Pass through entity for property management.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-01-16
S63	Uniform Securities Agent State Law Examination	2010-04-30

S65 Uniform Investment Adviser Law Examination

2014-01-16
S63 Uniform Securities Agent State Law Examination

2010-04-30

Other Names

Kozue Catherine Matayoshi

View on SEC IAPD