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Lincoln Lai

LPl Enterprise, LLC

Orange, CA

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-14
IL RA APPROVED 2024-11-14
KY RA APPROVED 2024-11-14
  • CA RA
    APPROVED
    Since 2024-11-14
  • IL RA
    APPROVED
    Since 2024-11-14
  • KY RA
    APPROVED
    Since 2024-11-14

Branch Locations

600 City Parkway West Suite 210, Orange, CA 92868 • 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
Foresters Financial Services Pasadena CA 03/2014 01/2018
Foresters Advisory Services Llc Pasadena CA 09/2016 01/2018
Pruco Securities, Llc. Los Angeles CA 01/2018 11/2024
Prudential Insurance Company Of America Los Angeles CA 01/2018 Present
Lpl Enterprise, Llc Orange CA 11/2024 Present
  • 03/2014 → 01/2018
    Foresters Financial Services
    Pasadena, CA
  • 09/2016 → 01/2018
    Foresters Advisory Services Llc
    Pasadena, CA
  • 01/2018 → 11/2024
    Pruco Securities, Llc.
    Los Angeles, CA
  • 01/2018 → Present
    Prudential Insurance Company Of America
    Los Angeles, CA
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Orange, CA
Previous Registrations
  • 2018-02-06 → 2024-11-14
    Pruco Securities, Llc.
    Los Angeles, CA
    Orange, CA
    Los Angeles, CA
  • 2016-10-17 → 2018-01-23
    Foresters Advisory Services, Llc
    Monrovia, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-22
S63 Uniform Securities Agent State Law Examination 2010-09-16
  • S65 Uniform Investment Adviser Law Examination
    2016-09-22
  • S63 Uniform Securities Agent State Law Examination
    2010-09-16

View on SEC IAPD

Other Firms

TRANSAMERICA FINANCIAL ADVISORS, LLC
ARIS FUND I
LPL FINANCIAL LLC
PFS INVESTMENTS INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
B.B. GRAHAM & COMPANY, INC.
GRAHAM & CO. ADVISORY, INC.
ORANGE CAPITAL MANAGEMENT, INC.

Other Investors

BRIAN ERIC PAYNE
ALBERT MARTINEZ
NAFENG IRENE HIOE
JEROME DAVID JOSTAK
ADINA COCA
VICTOR KUO
JOHN QUANG PHAM
THANH HA TRINH

Other Offices

TRANSAMERICA FINANCIAL ADVISORS, LLC · ORANGE, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · Orange, CA
ARIS FUND I · ORANGE, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · ORANGE, CA
LPL FINANCIAL LLC · ORANGE, CA
PFS INVESTMENTS INC. · ORANGE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Orange, CA
B.B. GRAHAM & COMPANY, INC. · ORANGE, CA

More in Orange, CA

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