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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-03-30
TX RA APPROVED 2026-03-30
  • CA RA
    APPROVED
    Since 2026-03-30
  • TX RA
    APPROVED
    Since 2026-03-30

Branch Locations

4370 La Jolla Village Drive Suite 310, San Diego, CA 92122-1250 • 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
United States Navy Esg-3 Command San Diego CA 01/2003 02/2024
Xmvisuals Llc Dba Fastsigns San Diego CA 05/2019 Present
Fly Llc Dba Presotea San Diego CA 04/2020 11/2024
First Command Advisory Services , Inc Fort Worth TX 03/2024 07/2024
First Command Insurance Services , Inc Fort Worth TX 03/2024 07/2024
Forthright Capital Advisory Llc Las Vegas NV 07/2024 12/2024
Forthright Capital Partners Llc Las Vegas NV 07/2024 12/2024
Forthright Capital Partners Llc Las Vegas NV 02/2025 03/2026
Forthright Capital Advisory Llc Las Vegas NV 02/2025 03/2026
Lpl Enterprise Llc San Diego CA 03/2026 Present
  • 01/2003 → 02/2024
    United States Navy Esg-3 Command
    San Diego, CA
  • 05/2019 → Present
    Xmvisuals Llc Dba Fastsigns
    San Diego, CA
  • 04/2020 → 11/2024
    Fly Llc Dba Presotea
    San Diego, CA
  • 03/2024 → 07/2024
    First Command Advisory Services , Inc
    Fort Worth, TX
  • 03/2024 → 07/2024
    First Command Insurance Services , Inc
    Fort Worth, TX
  • 07/2024 → 12/2024
    Forthright Capital Advisory Llc
    Las Vegas, NV
  • 07/2024 → 12/2024
    Forthright Capital Partners Llc
    Las Vegas, NV
  • 02/2025 → 03/2026
    Forthright Capital Partners Llc
    Las Vegas, NV
  • 02/2025 → 03/2026
    Forthright Capital Advisory Llc
    Las Vegas, NV
  • 03/2026 → Present
    San Diego, CA
Previous Registrations
Other Businesses

1. 03/17/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business)- San Diego CA - Inv Related - OBA Start Date: 03/06/2026- 160 Hour(s)/Month - 160Hour(s) During Trading" 2. 03/17/2026 - Raymond Yau N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency -San Diego CA - Inv Related - OBA Start Date: 03/06/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading" 3. 03/17/2026 - XMvisuals LLC DBA FASTSIGNS - Business Owner - San Diego CA - Not Inv Related - OBA Start Date:05/17/2019 - 60 Hour(s)/Month - 0 Hour(s) During Trading"

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-15
  • S66 Uniform Combined State Law Examination
    2024-04-15
Other Names
  • Raymond Chi Wang Yau

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