Ernest Bernard Arnold

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APP_PEND_IARCE	2026-01-01

CA RA
APP_PEND_IARCE

Since 2026-01-01

Branch Locations

70 S Lake Ave Ste 1040, Pasadena, CA 91101 • United States

Disclosures

2 disclosure categories 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 Yes
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
B.B. Graham & Company, Inc.	Orange	CA	07/2007	02/2019
Rjj Pasadena Securities, Inc.	South Pasadena	CA	02/2019	06/2021
Western International Securities, Inc.	Pasadena	CA	07/2021	Present
Lpl Financial Llc	Pasadena	CA	06/2025	Present

07/2007 → 02/2019

B.B. Graham & Company, Inc.

Orange, CA
02/2019 → 06/2021

Rjj Pasadena Securities, Inc.

South Pasadena, CA
07/2021 → Present

Western International Securities, Inc.

Pasadena, CA
06/2025 → Present

Lpl Financial Llc

Pasadena, CA

Previous Registrations

2021-07-02 → 2025-06-05

Western International Securities, Inc.

Pasadena, CA

Pasadena, CA
2019-02-22 → 2021-07-07

Rjj Pasadena Securities, Inc.

South Pasadena, CA

Henderson, NV
2010-06-23 → 2019-02-26

B.B. Graham & Company, Inc.

Pasadena, CA

Whittier, CA

Orange, CA

Orange, CA

Pasadena, CA

Other Businesses

1- 02/03/2026 - San Pasqual LLC - Real Estate Rental - Manager - Investment Related - Pasadena, CA - Start Date 03/01/2026 - 3 hours per month/ 0 hours during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-04-28
S63	Uniform Securities Agent State Law Examination	1996-01-22

S65 Uniform Investment Adviser Law Examination

2010-04-28
S63 Uniform Securities Agent State Law Examination

1996-01-22

View on SEC IAPD