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Michael Jay Moody

LPl Financial LLC

Calabasas, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05

Branch Locations

23501 Park Sorrento Ste. 212, Calabasas, CA 91302 • 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
Western International Securities, Inc. Pasadena CA 11/2000 Present
Lpl Financial Llc Calabasas CA 06/2025 Present
  • 11/2000 → Present
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Lpl Financial Llc
    Calabasas, CA
Previous Registrations
  • 2007-07-26 → 2025-06-05
    Western International Securities, Inc.
    Pasadena, CA
    Pasadena, CA
    Crystal Bay, NV
    Los Angeles, CA
    Calabasas, CA
    Los Angeles, CA
  • 1994-08-29 → 2014-04-01
    Nasdaq Dorsey Wright
    Pasadena, CA
Other Businesses

USCF-Certified Chess Coach; Non Investment-Related; Provide private chess lessons to children

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-11-02
S63 Uniform Securities Agent State Law Examination 1984-04-03
  • S65 Uniform Investment Adviser Law Examination
    1993-11-02
  • S63 Uniform Securities Agent State Law Examination
    1984-04-03
Other Names
  • Michael Moody

View on SEC IAPD

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