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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-02
  • CA RA
    APPROVED
    Since 2025-01-02

Branch Locations

280 Main St, Point Arena, CA 95468 • United States

16095 Main St, Lower Lake, CA 95457 • 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
Jp Morgan Chase Bank Lakeport CA 07/2016 05/2021
Jp Morgan Securities Llc Lakeport CA 07/2016 05/2021
Unemployed Clearlake CA 06/2021 02/2023
Cuso Financial Services, Lp San Diego CA 03/2023 09/2024
Redwood Credit Union Ukiah CA 03/2023 Present
Lpl Financial Llc Lower Lake CA 09/2024 Present
  • 07/2016 → 05/2021
    Jp Morgan Chase Bank
    Lakeport, CA
  • 07/2016 → 05/2021
    Jp Morgan Securities Llc
    Lakeport, CA
  • 06/2021 → 02/2023
    Unemployed
    Clearlake, CA
  • 03/2023 → 09/2024
    Cuso Financial Services, Lp
    San Diego, CA
  • 03/2023 → Present
    Redwood Credit Union
    Ukiah, CA
  • 09/2024 → Present
    Lower Lake, CA
Previous Registrations
  • 2023-10-13 → 2024-09-18
    Cuso Financial Services, L.P.
    Ukiah, CA
    Lower Lake, CA
    Point Arena, CA
Other Businesses

1 - 08/16/2024 - Redwood Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-10-12
S63 Uniform Securities Agent State Law Examination 2016-09-27
  • S65 Uniform Investment Adviser Law Examination
    2023-10-12
  • S63 Uniform Securities Agent State Law Examination
    2016-09-27
Other Names
  • G Yadira Bravo

View on SEC IAPD

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