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William Mai

LPl Enterprise, LLC

Sherman Oaks, CA

Baldwin Park, 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
TX RA APPROVED_RES 2024-11-14
  • CA RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • United States

Baldwin Park, CA • 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 Monrovia CA 04/2015 02/2018
Prudential Insurance Company Of America Los Angeles CA 02/2018 Present
Pruco Securities, Llc. Los Angeles CA 02/2018 11/2024
Lpl Enterprise, Llc Los Angeles CA 11/2024 Present
  • 04/2015 → 02/2018
    Foresters Financial
    Monrovia, CA
  • 02/2018 → Present
    Prudential Insurance Company Of America
    Los Angeles, CA
  • 02/2018 → 11/2024
    Pruco Securities, Llc.
    Los Angeles, CA
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-08-10
S63 Uniform Securities Agent State Law Examination 2014-04-22
  • S65 Uniform Investment Adviser Law Examination
    2018-08-10
  • S63 Uniform Securities Agent State Law Examination
    2014-04-22

View on SEC IAPD

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HIGHLINE ASSET MANAGEMENT, LLC · SHERMAN OAKS, CA
HIGHLINE WEALTH PARTNERS · SHERMAN OAKS, CA
WRW WEALTH ADVISORS · SHERMAN OAKS, CA
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