Best Investors Account Sign in

John Taylor Somerville

LPl Financial LLC

Santa Barbara, CA

CRD 1127568

Claim This Profile
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

AuthorityCategoryStatusDate
CA RA APPROVED 2024-12-12
TX RA APPROVED 2024-12-11
  • CA RA
    APPROVED
    Since 2024-12-12
  • TX RA
    APPROVED
    Since 2024-12-11

Branch Locations

111 Micheltorena St Ste 220, Santa Barbara, CA 93101 • 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
D.A. Davidson & Co. Santa Barbara CA 11/2013 12/2021
D.A. Davidson & Co. Santa Barbara CA 12/2021 12/2024
Lpl Financial Llc Santa Barbara CA 12/2024 Present
Previous Registrations
  • 2013-11-25 → 2024-12-12
    D.A. Davidson & Co.
    Santa Barbara, CA
  • 2013-11-04 → 2013-11-25
    Crowell Weedon & Co.
    Santa Barbara, CA
  • 2012-05-29 → 2013-11-04
    Crowell, Weedon & Co.
    Santa Barbara, CA
  • 2009-06-01 → 2012-06-12
    Morgan Stanley
    Santa Barbara, CA
    Santa Barbara, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Santa Barbara, CA
  • 1998-11-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Santa Barbara, CA
    Santa Barbar, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-02-12
S63 Uniform Securities Agent State Law Examination 1983-06-02
  • S65 Uniform Investment Adviser Law Examination
    2018-02-12
  • S63 Uniform Securities Agent State Law Examination
    1983-06-02

View on SEC IAPD

More in Santa Barbara, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor