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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-12-16
CA RA APPROVED 2021-12-15
  • TX RA
    APPROVED_RES
    Since 2021-12-16
  • CA RA
    APPROVED
    Since 2021-12-15

Branch Locations

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

Huntington Beach, CA • United States

7561 Center Ave Ste 17, Huntington Beach, CA 92647 • 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
National Planning Corporation Orange CA 04/2009 10/2017
Securities America Inc. Huntington Beach CA 10/2017 11/2021
Securities America Advisors Huntington Beach CA 10/2017 11/2021
Arbor Point Advisors Huntington Beach CA 03/2019 11/2021
Lpl Financial, Llc Huntington Beach CA 12/2021 Present
  • 04/2009 → 10/2017
    National Planning Corporation
    Orange, CA
  • 10/2017 → 11/2021
    Securities America Inc.
    Huntington Beach, CA
  • 10/2017 → 11/2021
    Securities America Advisors
    Huntington Beach, CA
  • 03/2019 → 11/2021
    Arbor Point Advisors
    Huntington Beach, CA
  • 12/2021 → Present
    Huntington Beach, CA
Previous Registrations
  • 2017-10-17 → 2021-12-21
    Securities America Advisors, Inc.
    Huntington Beach, CA
    Huntington Beach, CA
  • 2019-03-26 → 2021-12-21
    Arbor Point Advisors
    Huntington Beach, CA
    Huntington Beach, CA
  • 2009-05-01 → 2017-11-10
    National Planning Corporation
    El Segundo, CA
    Huntington Beach, CA
    Van Nuys, CA
    Long Beach, CA
    Arcadia, CA
    Whittier, CA
    Venice, CA
    Escondido, CA
    Camarillo, CA
    Irvine, CA
    Torrance, CA
  • 2011-12-02 → 2017-01-15
    The Elite Financial Network, Inc.
    Huntington Beach, CA
  • 2010-02-24 → 2011-08-22
    The Elite Financial Network, Inc.
    Huntington Beach, CA
  • 2008-07-31 → 2009-12-31
    The Elite Financial Network, Inc.
    Huntington Beach, CA
  • 2006-02-09 → 2009-05-04
    Orange, CA
    Costa Mesa, CA
Other Businesses

1) 1985 - Non-Variable Insurance / Elite Life Insurance / Investment Related / 1HR/MO / Huntington Beach, CA 92649 2) 1992 - DBA for LPL Business (entity for LPL business) / Elite Financial Network / Investment Related / Huntington Beach, CA 92649 3) 05/09/2019 - Other - Wrote a Book / Own Your Future / Investment Related / 1HR/MO / Huntington Beach, CA 92649

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-01
S63 Uniform Securities Agent State Law Examination 1987-09-23
  • S65 Uniform Investment Adviser Law Examination
    1998-12-01
  • S63 Uniform Securities Agent State Law Examination
    1987-09-23
Other Names
  • Dan Cairo
  • Danny Cairo

View on SEC IAPD

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