Rebecca Marie Tapia

Current Employers

Employment History

• 02/2011 → Present
  Lpl Financial Llc
  Walnut Creek, CA
• 01/2014 → 12/2018
  Heffernan Investment Advisors, Inc.
  Walnut Creek, CA
• 12/2014 → Present
  Global Retirement Partners
  Walnut Creek, CA

Previous Registrations

• 2014-01-17 → 2017-01-13
  Heffernan Investment Advisors, Inc.
  San Francisco, CA

Other Businesses

1. 10/19/2011: HEFFERNAN FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/6/2011: OTHER-REG REP OF OTHER BD - HEFFERNAN SECURITIES LLC - REBECCA IS ALSO A REGISTERED REPRESENTATIVE OF HEFFERNAN SECURITIES LLC. - TIME SPENT 1% - SAN FRANCISCO, CA. 3. 11/11/2014: HEFFERNAN RETIREMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 09/15/2014 - 200 Hours Per Month/8 Hours During Securities Trading. 4. 10/28/2015: Global Retirement Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 03/31/2015 - IAR - 152 Hours Per Month During Securities Trading - Time Spent 95% - I provide investment advisory services through Global Retirement Partners, an independent investment advisor firm. I started this business activity in 06/2015. I expect to spend approximately hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 2/16/2018 - Heffernan Insurance Brokers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Assistant/Agent - Started 03/13/2017 - 0 Hours Per Month. 6. 11/30/2018 - Heffernan Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/03/2011 - 2 Hours Per Month/1 Hour During Securities Trading. 7. 12/4/2018 - Heffernan Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 01/03/2011 - 2 Hours Per Month/1 Hour During Securities Trading. 8. 12/4/2018 - Heffernan Retirement Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 01/03/2011 - 2 Hours Per Month/1 Hour During Securities Trading. 9. 01/16/2025- Heffernan Financial- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 11/01/2024- 160 Hours Per Month- 160 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2011-10-03