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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-15
TX RA APPROVED_RES 2025-05-15
  • CA RA
    APPROVED
    Since 2025-05-15
  • TX RA
    APPROVED_RES
    Since 2025-05-15

Branch Locations

1520 W Colorado Blvd, Pasadena, CA 91105 • 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
Wells Fargo Bank Na Canoga Park CA 01/2012 02/2023
Wells Fargo Clearing Services Llc Canoga Park CA 01/2018 02/2023
Cuso Financial Services, Lp San Diego CA 02/2023 05/2025
Firefighters First Credit Union Pasadena CA 02/2023 Present
Lpl Financial Llc Pasadena CA 05/2025 Present
  • 01/2012 → 02/2023
    Wells Fargo Bank Na
    Canoga Park, CA
  • 01/2018 → 02/2023
    Canoga Park, CA
  • 02/2023 → 05/2025
    Cuso Financial Services, Lp
    San Diego, CA
  • 02/2023 → Present
    Firefighters First Credit Union
    Pasadena, CA
  • 05/2025 → Present
    Pasadena, CA
Previous Registrations
  • 2023-02-14 → 2025-05-15
    Cuso Financial Services, L.P.
    Pasadena, CA
  • 2022-03-21 → 2023-02-14
    West Hills, CA
    Canoga Park, CA
    Encino, CA
    Canoga Park, CA
    Pasadena, CA
    Northridge, CA
    Los Angeles, CA
    Encino, CA
Other Businesses

1. 05/15/2025- Firehouse Financial- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 02/13/2023- 160 Hours Per Month- 160 Hours During Trading 2. 05/15/2025- David Flores- Notary- INV Related- At Reported Business Location(s)- Start date 10/23/2021- 1 Hour Per Month

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-21
S63 Uniform Securities Agent State Law Examination 2018-03-16
  • S66 Uniform Combined State Law Examination
    2022-03-21
  • S63 Uniform Securities Agent State Law Examination
    2018-03-16

View on SEC IAPD

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