Randal Joe Bressette

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2012-05-23
CA	RA	APPROVED	2004-01-06

TX RA
APPROVED

Since 2012-05-23
CA RA
APPROVED

Since 2004-01-06

Branch Locations

Dana Point, 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

Organization	City	State	From	To
Lpl Financial Llc	Costa Mesa	CA	01/2004	Present

01/2004 → Present

Lpl Financial Llc

Costa Mesa, CA

Previous Registrations

1997-07-08 → 2003-12-31

Cadaret, Grant & Co., Inc.

Costa Mesa, CA

Other Businesses

(1) 01/21/2004: No Business Name - Tax Planning (2) 12/20/2011: Bressette Associates - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - 45% Time Spent - Tax Prep (3) 12/03/2014: No Business Name - Real Estate Rental - Investment Related - 1697 Pe'e Road, #202, Koloa, HI 96756 - Start 11/26/2014 - 10 Hr/Mo; 4 Hour(s) During Securities Trading - rental property owner (4) 03/03/2016: Rental Property - Real Estate Rental - Investment Related - 33B Calle Aragon, Laguna Woods, CA - Start 01/01/2016 - 4 Hr/Mo; 0 Hour(s) During Securities Trading - rental property owner (5) 09/22/2016: The Bressette Companies, A California General Partnership - Business Entity For Tax/Investment Purposes Only - Investment Related - 949 South Cost Drive, Suite 175, Costa Mesa, CA 92626 - Start 07/01/1986 - 88 Hr/Mo; 40 Hour(s) During Securities Trading - Tax preparation and tax audit representation fees. (6) 6/20/2017 - No Business Name - Investment Related - 949 South Coast Dr. Ste 175 Costa Mesa CA 92626 & St. George, Utah - Real Estate Rental - Start 06/23/17 - 1 Hour Per Month/0 Hours During Securities Trading. (7) 10/31/2022 - Lincoln Life / Midland National Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 08/16/2019 - 2 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2002-09-05

S63 Uniform Securities Agent State Law Examination

2002-09-05

Designations

Certified Financial Planner

View on SEC IAPD