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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-06-14
CA RA APPROVED 2018-06-12
  • TX RA
    APPROVED
    Since 2018-06-14
  • CA RA
    APPROVED
    Since 2018-06-12

Branch Locations

2452 Lakewest Dr, Chico, CA 95928 • United States

Chico, 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
Cetera Advisor Networks El Segundo CA 01/2013 06/2018
Lpl Financial Llc Chico CA 06/2018 Present
  • 01/2013 → 06/2018
    Cetera Advisor Networks
    El Segundo, CA
  • 06/2018 → Present
    Chico, CA
Previous Registrations
  • 2000-04-21 → 2018-06-25
    Cetera Wealth Services, Llc
    Paradise, CA
    Paradise, CA
Other Businesses

1. 07/03/2019 - Asset Management Group - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:07/01/2019 - 120 hrs/mo - 4 hrs during trading. 2. 11/11/2021 - BCD Group Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2020 - 0 Hours Per Month. 3. 11/30/2021 - BUCKS & BONES, LLC - Investment Related - 4105 Cozumel Court Chico, CA 95973 - Real Estate Rental - Start Date: 10/01/1998 - 1 Hour Per Month/0 Hours During Securities Trading. 4. 06/07/2022 - Dennis & Debbie Miracle Trustees of the Miracle Family Trust - Investment Related - Loma Linda, CA. 92354 - Start Date - 05/06/2022 - 1 Hours Per Month/ 0 Hours During Securities Trading. 5. 09/23/2022 - No Business Name - Investment Related - Loma Linda, CA - Real Estate Rental - Start Date - 03/15/2022 - 0 Hours Per Month/0 Hours During Securities Trading 6. 09/23/2022 - No Business Name - Investment Related - Loma Linda, CA. - Start Date - 07/15/2022 - 0 Hours Per Month/0 Hours During Securities Trading 7. 09/23/2022 - No Business Name - Loma Linda, CA. - Real Estate Rental - Start Date - 08/15/2022 - 0 Hours Per Month/0 Hours During Securities Trading 8. 11/04/2022 - Max Miracle Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 08/16/2022 - 0 Hours Per Month/0 Hours During Securities Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-11
S63 Uniform Securities Agent State Law Examination 1987-05-26
  • S65 Uniform Investment Adviser Law Examination
    1999-11-11
  • S63 Uniform Securities Agent State Law Examination
    1987-05-26
Other Names
  • Dennis Miracle

View on SEC IAPD

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