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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
  • CA RA
    APPROVED
    Since 2024-11-14

Branch Locations

1731 Technology Dr Suite 600, San Jose, CA 95110 • 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
Waddell & Reed, Inc Campbell CA 04/2014 11/2017
Various Insurance Carriers For W&R Insurance Agencies Santa Clara CA 07/2014 11/2017
A2Z Tax And Financials, Inc. Irvine CA 08/2016 Present
A2Z Tax And Financials, Inc. Santa Clara CA 02/2017 Present
Prudential Insurance Company Of America San Jose CA 11/2017 Present
Pruco Securities, Llc. San Jose CA 11/2017 11/2024
Lpl Enterprise, Llc San Jose CA 11/2024 Present
  • 04/2014 → 11/2017
    Waddell & Reed, Inc
    Campbell, CA
  • 07/2014 → 11/2017
    Various Insurance Carriers For W&R Insurance Agencies
    Santa Clara, CA
  • 08/2016 → Present
    A2Z Tax And Financials, Inc.
    Irvine, CA
  • 02/2017 → Present
    A2Z Tax And Financials, Inc.
    Santa Clara, CA
  • 11/2017 → Present
    Prudential Insurance Company Of America
    San Jose, CA
  • 11/2017 → 11/2024
    San Jose, CA
  • 11/2024 → Present
    San Jose, CA
Previous Registrations
  • 2018-01-05 → 2024-11-14
    San Jose, CA
    San Jose, CA
  • 2014-12-24 → 2017-11-22
    Waddell & Reed
    Owings Mills, MD
    Seattle, WA
Other Businesses

1) 09/03/2024- A Zahabi Management Inc- Business Owner- Tax preparation or advice- Not INV Related- San Jose, CA- Start Date 02/01/2017- 5hrs/mth- 0hrs during trading 2) 09/03/2024- A2Z Tax & Financials, Inc- Real Estate Agent- Mortgage/Real Estate Services- Not INV Related- San Jose, CA- Start Date 08/01/2016- 5hrs/mth- 0hrs during trading 3) 09/03/2024- Investate LLC- I own this rental property and literally I do nothing, it's been rented to the same tenant for over 15 years- Real Estate Agent- INV Related- San Jose, CA- Start Date 11/01/2017- 0hrs/mth- 0hrs during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-24
  • S66 Uniform Combined State Law Examination
    2014-12-24

View on SEC IAPD

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