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Current Employers
Lpl Financial Llc

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

Current Registrations

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

Branch Locations

3010 Old Ranch Pkwy Ste 250, Seal Beach, CA 90740 • United States

Irvine, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Waddell & Reed, Inc. Seal Beach CA 07/1997 07/2021
Various Insurance Carriers Irvine CA 07/1997 07/2021
Lpl Financial Llc Seal Beach CA 07/2021 Present
  • 07/1997 → 07/2021
    Waddell & Reed, Inc.
    Seal Beach, CA
  • 07/1997 → 07/2021
    Various Insurance Carriers
    Irvine, CA
  • 07/2021 → Present
    Seal Beach, CA
Previous Registrations
  • 1997-07-08 → 2021-07-21
    Waddell & Reed
    Irvine, CA
    Costa Mesa, CA
    Irvine, CA
    Las Vegas, NV
    Irvine, CA
    Seal Beach, CA
Other Businesses

1) 8/14/2018- TDK Financial Group- DBA for LPL Business (entity for LPL business)- inv. related- Seal Beach CA 2) 08/10/2023 - WAVELENGTH INSURANCE CONSULTING, INC. - Investment Related - At Reportable Business Location - Insurance Agent - Start Date 08/01/2023 - 3 Hours Per Month 3 Hours During Trading

View on SEC IAPD

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