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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-05-09
  • CA RA
    APPROVED
    Since 2024-05-09

Branch Locations

303 Vintage Park Dr Ste 120, Foster City, CA 94404 • United States

Berkeley, CA • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Metropolitan Life Insurance Company Santa Rosa CA 05/1987 03/2017
Metlife Securities Inc. Santa Rosa CA 05/1987 03/2017
Massachusetts Mutual Life Insurance Company Walnut Creek MA 07/2016 03/2021
Mml Investors Services, Llc Walnut Creek CA 03/2017 03/2021
Lincoln Financial Advisors Corporation Burlingame CA 03/2021 05/2024
Lpl Financial Llc Berkeley CA 05/2024 Present
  • 05/1987 → 03/2017
    Metropolitan Life Insurance Company
    Santa Rosa, CA
  • 05/1987 → 03/2017
    Metlife Securities Inc.
    Santa Rosa, CA
  • 07/2016 → 03/2021
    Massachusetts Mutual Life Insurance Company
    Walnut Creek, MA
  • 03/2017 → 03/2021
    Walnut Creek, CA
  • 03/2021 → 05/2024
    Lincoln Financial Advisors Corporation
    Burlingame, CA
  • 05/2024 → Present
    Berkeley, CA
Previous Registrations
  • 2021-03-03 → 2024-05-08
    Osaic Fs, Inc.
    San Carlos, CA
    Berkeley, CA
  • 2017-03-25 → 2021-03-03
    Walnut Creek, CA
    Pleasanton, CA
  • 2001-05-22 → 2017-03-25
    Msi Financial Services, Inc.
    Walnut Creek, CA
    Santa Rosa, CA
    San Jose, CA
    Walnut Creek, CA
Other Businesses

1) 04/29/2024 - Pacific Wealth Management Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 20 Hours per month. 2) 04/29/2024 - Non-Variable Insurance - Selling: Fixed Insurance and Fixed Annuities, MassMutual and AIP - CA 94404 - Investment related - 1% Time spent - Start date: 04/12/2024.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-02-15
S65 Uniform Investment Adviser Law Examination 1999-11-22
  • S63 Uniform Securities Agent State Law Examination
    2013-02-15
  • S65 Uniform Investment Adviser Law Examination
    1999-11-22
Designations

View on SEC IAPD

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