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Andrew Lyon Hart

LPl Financial LLC

San Diego, CA

Lake Tapps, WA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2018-01-17
  • WA RA
    APPROVED
    Since 2018-01-17

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Lake Tapps, WA • 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
Assetmark Brokerage, Llc Concord CA 08/2014 12/2017
Lpl Financial Laek Tapps WA 12/2017 Present
  • 08/2014 → 12/2017
    Assetmark Brokerage, Llc
    Concord, CA
  • 12/2017 → Present
    Lpl Financial
    Laek Tapps, WA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-07
S63 Uniform Securities Agent State Law Examination 2001-10-22
  • S66 Uniform Combined State Law Examination
    2005-11-07
  • S63 Uniform Securities Agent State Law Examination
    2001-10-22
Other Names
  • Andy Hart

View on SEC IAPD

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