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Karl Patrick Ames

LPl Financial LLC

San Diego, CA

San Diego, 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 2024-10-11
  • CA RA
    APPROVED
    Since 2024-10-11

Branch Locations

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

San Diego, CA • 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
Lpl Financial San Diego CA 12/2017 Present
Los Coches Cleaners Carlsbad CA 01/2007 12/2017
Fosters Freeze Santa Paula CA 05/2016 04/2017
Thomas Aquinas College Santa Paula CA 01/2014 05/2017
  • 12/2017 → Present
    Lpl Financial
    San Diego, CA
  • 01/2007 → 12/2017
    Los Coches Cleaners
    Carlsbad, CA
  • 05/2016 → 04/2017
    Fosters Freeze
    Santa Paula, CA
  • 01/2014 → 05/2017
    Thomas Aquinas College
    Santa Paula, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-19
  • S66 Uniform Combined State Law Examination
    2022-12-19
Other Names
  • Karl Ames

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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