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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-29
TX RA APPROVED 2018-04-12
  • CA RA
    APPROVED
    Since 2025-01-29
  • TX RA
    APPROVED
    Since 2018-04-12

Branch Locations

Beach, CA • United States

311 Main St Ste 14, Seal Beach, CA 90740 • 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
Prudential Irvine CA 09/2016 10/2017
Kestra Financial, Inc. Irvine CA 10/2017 10/2017
Sii Invesments, Inc. Long Beach CA 10/2017 02/2018
Lpl Financial Llc Long Beach CA 02/2018 Present
Better Planning Better Life Inc. Seal Beach CA 08/2026 Present
  • 09/2016 → 10/2017
    Prudential
    Irvine, CA
  • 10/2017 → 10/2017
    Kestra Financial, Inc.
    Irvine, CA
  • 10/2017 → 02/2018
    Sii Invesments, Inc.
    Long Beach, CA
  • 02/2018 → Present
    Long Beach, CA
  • 08/2026 → Present
    Better Planning Better Life Inc.
    Seal Beach, CA
Previous Registrations
Other Businesses

1. 9/12/2018 - Capital Investment Advisers - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/1999 - 40 Hours Per Month/40 Hours During Securities Trading. 2. 7/29/2020 - Cavalier Associates - Not Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 7/6/2020 - 1 Hour Per Month/1 Hour During Securities Trading - Term life and disability insurance business. 3. 10/21/2021 - Simplicity - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 08/14/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 4. 04/11/2023 - Better Planning Better Life, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 04/17/2023 - 200 Hours Per Month/ 200 Hours During Securities Trading 5) 02/04/2025 - City of Seal Beach - Not Investment Related - Other - Instructor - At Reported Business Location(s) - Start Date:03/11/2025 - 4 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-08
S63 Uniform Securities Agent State Law Examination 2016-09-13
  • S65 Uniform Investment Adviser Law Examination
    2016-12-08
  • S63 Uniform Securities Agent State Law Examination
    2016-09-13
Designations
Other Names
  • Jonny West
  • Jonathan West

View on SEC IAPD

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