Trudy Diane Haussmann

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-02-03
TX	RA	APPROVED	2025-02-03

CA RA
APPROVED

Since 2025-02-03
TX RA
APPROVED

Since 2025-02-03

Branch Locations

23201 Lake Center Dr Ste 300, Lake Forest, CA 92630 • United States

221 East Walnut, Suite 135, Pasadena, CA 91101 • 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

Organization	City	State	From	To
Securities America, Inc.	Lake Forest	CA	02/1991	06/2024
Trudy Haussmann	Lake Forest	CA	01/1987	Present
Haussmann Financial, Inc.	Lake Forest	CA	08/1996	Present
Double H Properties	Lake Forest	CA	12/2004	Present
Osaic Wealth, Inc.	Lake Forest	CA	06/2024	02/2025
Lpl Financial	Lake Forest	CA	02/2025	Present

02/1991 → 06/2024

Securities America, Inc.

Lake Forest, CA
01/1987 → Present

Trudy Haussmann

Lake Forest, CA
08/1996 → Present

Haussmann Financial, Inc.

Lake Forest, CA
12/2004 → Present

Double H Properties

Lake Forest, CA
06/2024 → 02/2025

Osaic Wealth, Inc.

Lake Forest, CA
02/2025 → Present

Lpl Financial

Lake Forest, CA

Previous Registrations

1997-02-11 → 2025-04-28

Haussmann Financial Inc.

Newport Beach, CA

Lake Forest, CA

Other Businesses

1 - 02/03/2025 - High Meadows LLC - Real Estate Rental - Inv Related - CA 92653 - OBA Start Date: 12/20/2024. 2 - 02/03/2025 - Double H Properties - Real Estate Rental - Inv Related - 1 Hour/Month - CA 92630 - OBA Start Date: 06/01/2004. 3 - 02/03/2025 - Haussmann Financial Inc - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s). 4 - 02/03/2025 - Trudy Haussmann, Insurance - Non-Variable Insurance - Inv Related - 1 Hour/Month - At Reported Business Location(s) - OBA Start Date: 03/01/1991. 5 - 12/01/2025 - Haussmann Financial - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start Date 12/01/2025 - 1 hour per month/ 0 hours during trading 6 - 12/01/2025 - Real Estate Rental - Owner - Investment Related - Lake Forest & Laguna Hills, CA - Start Date 01/01/2025 - 1 hour per month/ 0 hours during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1990-12-18

S63 Uniform Securities Agent State Law Examination

1990-12-18

Designations

Certified Financial Planner

Other Names

Trudy Haussmannstoddard
Trudy Diane Haussmann Stoddard

View on SEC IAPD