Best Investors Account Sign in

Derek L Johnson

LPl Financial LLC

Laguna Niguel, CA

Claim This Profile
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-12-05
CA RA APPROVED 2013-12-13
  • TX RA
    APPROVED_RES
    Since 2017-12-05
  • CA RA
    APPROVED
    Since 2013-12-13

Branch Locations

28202 Cabot Rd Ste 355, Laguna Niguel, CA 92677 • 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
Lpl Financial Rancho Santa Margarita CA 12/2013 Present
  • 12/2013 → Present
    Lpl Financial
    Rancho Santa Margarita, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-08-26
S63 Uniform Securities Agent State Law Examination 2010-08-24
  • S65 Uniform Investment Adviser Law Examination
    2010-08-26
  • S63 Uniform Securities Agent State Law Examination
    2010-08-24

View on SEC IAPD

Other Firms

EHRLICH FINANCIAL GROUP
TCFG INVESTMENT ADVISORS, LLC
SENTIENT FINANCIAL, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MORGAN STANLEY
AMERIPRISE FINANCIAL SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
COMMONWEALTH FINANCIAL NETWORK

Other Investors

ANDREW LEE EHRLICH
HEATHER MICHELLE BOONE
LORA J ROMMEL
JESSICA LYNN KRUSEY
Burton Blayne Brown
Steven Andrew King
Michael John Herlevi
Don M Dumas

Other Offices

EHRLICH FINANCIAL GROUP · LAGUNA NIGUEL, CA
TCFG INVESTMENT ADVISORS, LLC · LAGUNA NIGUEL, CA
SENTIENT FINANCIAL, LLC · LAGUNA NIGUEL, CA
LPL FINANCIAL LLC · LAGUNA NIGUEL, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAGUNA NIGUEL, CA
MORGAN STANLEY · Laguna Niguel, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Laguna Niguel, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Laguna Niguel, CA

More in Laguna Niguel, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor