Carol Ann Bezner

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	2025-06-05

CA RA
APPROVED

Since 2025-06-05

Branch Locations

Rancho Mirage, CA • 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

Organization	City	State	From	To
Financial West Group	Westlake Village	CA	07/1995	08/2017
Western International Securities, Inc.	Pasadena	CA	08/2017	06/2025
Lpl Financial Llc	Northridge	CA	06/2025	Present

07/1995 → 08/2017

Financial West Group

Westlake Village, CA
08/2017 → 06/2025

Western International Securities, Inc.

Pasadena, CA
06/2025 → Present

Lpl Financial Llc

Northridge, CA

Previous Registrations

2017-08-21 → 2025-06-05

Western International Securities, Inc.

Northridge, CA

Northridge, CA
2002-07-02 → 2017-08-21

Financial West Group

Northridge, CA

Irvine, CA

Torrance, CA

Carlsbad, CA

Other Businesses

1- 06/2025 - OceanView Life & Annuity Co. - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 10/13/2022 - 1 hour per month/ 0 hours during trading