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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-07-11
  • CA RA
    APPROVED
    Since 2025-07-11

Branch Locations

2200 N 1St St, Dixon, CA 95620 • United States

338 E Lindsay St, Stockton, CA 95202 • 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 Llc Stockton CA 02/2025 Present
Bank Of Stockton Stockton CA 02/2025 Present
Bank Of Stockton Oakdale CA 05/2017 02/2025
Bbva Compass Stockton CA 05/2016 05/2017
  • 02/2025 → Present
    Stockton, CA
  • 02/2025 → Present
    Bank Of Stockton
    Stockton, CA
  • 05/2017 → 02/2025
    Bank Of Stockton
    Oakdale, CA
  • 05/2016 → 05/2017
    Bbva Compass
    Stockton, CA
Other Businesses

1. Start Date: 06/18/2025 - Investment & Insurance Services at Bank of Stockton - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 0 Hrs/Mth - 0 Hrs During Trading - Time Spent: 0. 2. Start Date : 01/11/2023 - Edgar Guevara - Notary - Investment Related - At Reported Business Location(s) - 0 Hrs/Mth - 0 Hrs During Trading - Time Spent: 0.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-09
  • S66 Uniform Combined State Law Examination
    2025-07-09

View on SEC IAPD

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