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Advisor at LPL FINANCIAL LLC
ANAHEIM, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | Bd affiliated wealth | May 15, 2025 | n/a | yes | ANAHEIM, CA | Current employment |
| CUSO FINANCIAL SERVICES, L.P. | Former SEC adviser | Jan 13, 2023 | May 15, 2025 | no | Anaheim, CA|SAN DIEGO, CA|Anaheim, CA | Previous registration |
| WESCOM FINANCIAL SERVICES, LLC | Former SEC adviser | Jan 5, 2016 | Feb 6, 2023 | no | Anaheim, CA|PASADENA, CA|Anaheim, CA | Previous registration |
| ALPHA CUBED INVESTMENTS, LLC | Former SEC adviser | Feb 9, 2015 | Dec 21, 2015 | no | IRVINE, CA | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Dec 11, 2012 | Feb 11, 2015 | no | LAGUNA HILLS, CA|LAGUNA BEACH, CA|LAGUNA BEACH, CA|LAGUNA HILLS, CA|MISSION VIEJO, CA|IRVINE, CA|IRVINE, CA|ALISO VIEJO, CA|IRVINE, CA|MISSION VIEJO, CA|LAGUNA HILLS, CA|RANCHO SANTA MARGARITA, CA|MISSION VIEJO, CA|SAN JUAN CAPISTRANO, CA|LADERA RANCH, CA|FOOTHILL RANCH, CA|LAKE FOREST, CA|IRVINE, CA|MISSION VIEJO, CA|SAN CLEMENTE, CA|SAN CLEMENTE, CA|DANA POINT, CA|MISSION VIEJO, CA|MISSION VIEJO, CA|LADERA RANCH, CA|LAKE FOREST, CA|IRVINE, CA|LAGUNA BEACH, CA|LAGUNA NIGUEL, CA|IRVINE, CA|SAN CLEMENTE, CA|IRVINE, CA|LAGUNA NIGUEL, CA|IRVINE, CA|IRVINE, CA|IRVINE, CA|LAGUNA HILLS, CA|IRVINE, CA|FOUNTAIN VALLEY, CA|SANTA ANA, CA|SANTA ANA, CA|SANTA ANA, CA|FOUNTAIN VALLEY, CA|COSTA MESA, CA|IRVINE, CA|IRVINE, CA|LAKE FOREST, CA|IRVINE, CA|MISSION VIEJO, CA|MISSION VIEJO, CA|LAGUNA NIGUEL, CA|LADERA RANCH, CA|DANA POINT, CA|MISSION VIEJO, CA|IRVINE, CA|IRVINE, CA|RANCHO SANTA MARGARITA, CA|SAN CLEMENTE, CA|IRVINE, CA|MISSION VIEJO, CA|IRVINE, CA|IRVINE, CA|ALISO VIEJO, CA|SAN CLEMENTE, CA|IRVINE, CA|MISSION VIEJO, CA|FOOTHILL RANCH, CA|LADERA RANCH, CA|LAGUNA NIGUEL, CA|LAGUNA HILLS, CA|LAKE FOREST, CA|LAGUNA HILLS, CA|LAGUNA HILLS, CA|SAN CLEMENTE, CA|SAN JUAN CAPISTRANO, CA|MISSION VIEJO, CA|IRVINE, CA|IRVINE, CA|IRVINE, CA | Previous registration |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Former SEC adviser | Aug 2, 2010 | Dec 7, 2012 | no | PITTSBURG, CA|SAN JOSE, CA|CAMPBELL, CA|CAMPBELL, CA|SAN JOSE, CA|CAPITOLA, CA|SAN JOSE, CA|GILROY, CA|PEBBLE BEACH, CA|SAN JOSE, CA|SAN JOSE, CA|MONTEREY, CA|SAN JOSE, CA|SANTA CLARA, CA|SANTA CRUZ, CA|SAN JOSE, CA|SAN JOSE, CA|LOS GATOS, CA|SAN JOSE, CA|SAN JOSE, CA|UNION CITY, CA|SANTA CLARA, CA|NEWPORT BEACH, CA|BALDWIN PARK, CA|ROSEMEAD, CA|BELL GARDENS, CA|PASADENA, CA|PASADENA, CA|SANTA ANA, CA|SANTA ANA, CA|IRVINE, CA|STANTON, CA|COVINA, CA|LONG BEACH, CA|BELLFLOWER, CA|CHINO, CA|LAKEWOOD, CA|FOOTHILL RANCH, CA|TUSTIN, CA|GARDEN GROVE, CA|ANAHEIM, CA|ANAHEIM, CA|LA MIRADA, CA|LA HABRA, CA|PICO RIVERA, CA|SANTA FE SPRINGS, CA|CITY OF COMMERCE, CA|SOUTH GATE, CA|COMPTON, CA|MISSION VIEJO, CA|FULLERTON, CA|SAN CLEMENTE, CA|HUNTINGTON BEACH, CA|DOWNEY, CA|SIERRA MADRE, CA|RANCHO CUCAMONGA, CA|CITY OF INDUSTRY, CA|SAN DIEGO, CA|EL CAJON, CA|LA MESA, CA|SANTEE, CA|SPRING VALLEY, CA|SPRING VALLEY, CA|PASADENA, CA|TORRANCE, CA|MORGAN HILL, CA|CUPERTINO, CA|SAN JOSE, CA|SAN JOSE, CA|LOS ALTOS, CA|SAN JOSE, CA|SARATOGA, CA|CLOVIS, CA | Previous registration |
| U.S. BANCORP INVESTMENTS, INC. | Former SEC adviser | Apr 7, 2010 | Jul 30, 2010 | no | IRVINE, CA|FOUNTAIN VALLEY, CA|Fountain Valley, CA|LAKE FOREST, CA|Lake Forest, CA|LAGUNA BEACH, CA | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | May 2, 2009 | Mar 24, 2010 | no | LAGUNA HILLS, CA|LA HABRA, CA|HUNTINGTON BEACH, CA|NEWPORT BEACH, CA|FULLERTON, CA|FOUNTAIN VALLEY, CA|DANA POINT, CA|LAKE FOREST, CA|SANTA ANA, CA|ANAHEIM, CA|IRVINE, CA|TUSTIN, CA|ORANGE, CA|ORANGE, CA|CAVE CREEK, AZ|PHOENIX, AZ|PHOENIX, AZ|AVONDALE, AZ|PHOENIX, AZ|PHOENIX, AZ|PHOENIX, AZ|PHOENIX, AZ|WESTMINSTER, CA|GARDEN GROVE, CA|SAN CLEMENTE, CA|SAN CLEMENTE, CA|SAN JUAN CAPISTRANO, CA|FULLERTON, CA|FOUNTAIN VALLEY, CA|FULLERTON, CA | Previous registration |
| WAMU INVESTMENTS, INC. | n/a | Feb 16, 2006 | May 2, 2009 | no | LAGUNA HILLS, CA|COSTA MESA, CA|PEORIA, AZ|SCOTTSDALE, AZ|MESA, AZ|PHOENIX, AZ|PHOENIX, AZ|SURPRISE, AZ|CASA GRANDE, AZ|AVONDALE, AZ|CHANDLER, AZ|CHANDLER, AZ|FOUNTAIN HILLS, AZ|GILBERT, AZ|MESA, AZ|MESA, AZ|PHOENIX, AZ|PEORIA, AZ|PHOENIX, AZ|PEORIA, AZ|GLENDALE, AZ|TEMPE, AZ|SCOTTSDALE, AZ|MESA, AZ|PHOENIX, AZ|PHOENIX, AZ|CHANDLER, AZ|MESA, AZ|PHOENIX, AZ|SCOTTSDALE, AZ|GLENDALE, AZ|SCOTTSDALE, AZ|MESA, AZ|GLENDALE, AZ|PHOENIX, AZ|CAVE CREEK, AZ|PHOENIX, AZ|MESA, AZ|PHOENIX, AZ|GLENDALE, AZ|GLENDALE, AZ|PHOENIX, AZ|PHOENIX, AZ|AVONDALE, AZ|CHANDLER, AZ|GLENDALE, AZ|MESA, AZ|SCOTTSDALE, AZ|GILBERT, AZ|GLENDALE, AZ|CHANDLER, AZ|MESA, AZ|PHOENIX, AZ|PHOENIX, AZ|PHOENIX, AZ|PHOENIX, AZ|TEMPE, AZ|ANAHEIM, CA|GARDEN GROVE, CA|HUNTINGTON BEACH, CA|HUNTINGTON BEACH, CA|NEWPORT BEACH, CA|ORANGE, CA|SEAL BEACH, CA|TUSTIN, CA|CARLSBAD, CA|HUNTINGTON BEACH, CA|IRVINE, CA|IRVINE, CA|IRVINE, CA|ANAHEIM, CA|ANAHEIM, CA|BUENA PARK, CA|COSTA MESA, CA|COSTA MESA, CA|ORANGE, CA|FOUNTAIN VALLEY, CA|GARDEN GROVE, CA|GARDEN GROVE, CA|HUNTINGTON BEACH, CA|SANTA ANA, CA|SANTA ANA, CA|SEAL BEACH, CA|LOS ALAMITOS, CA|WESTMINSTER, CA|WESTMINSTER, CA|FOOTHILL RANCH, CA|SANTA ANA, CA|IRVINE, CA|IRVINE, CA|LADERA RANCH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CUSO FINANCIAL SERVICES, L.P. | LPL FINANCIAL LLC | May 15, 2025 | May 15, 2025 | 0 | Bulk transfer | Ibd to ibd |
| WESCOM FINANCIAL SERVICES, LLC | CUSO FINANCIAL SERVICES, L.P. | Feb 6, 2023 | Jan 13, 2023 | -24 | Firm change | RIA to ibd |
| ALPHA CUBED INVESTMENTS, LLC | WESCOM FINANCIAL SERVICES, LLC | Dec 21, 2015 | Jan 5, 2016 | 15 | Firm change | Other |
| J.P. MORGAN SECURITIES LLC | ALPHA CUBED INVESTMENTS, LLC | Feb 11, 2015 | Feb 9, 2015 | -2 | Firm change | Other |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | J.P. MORGAN SECURITIES LLC | Dec 7, 2012 | Dec 11, 2012 | 4 | Firm change | Other |
| U.S. BANCORP INVESTMENTS, INC. | BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Jul 30, 2010 | Aug 2, 2010 | 3 | Firm change | Other |
| CHASE INVESTMENT SERVICES CORP. | U.S. BANCORP INVESTMENTS, INC. | Mar 24, 2010 | Apr 7, 2010 | 14 | Firm change | Other |
| WAMU INVESTMENTS, INC. | CHASE INVESTMENT SERVICES CORP. | May 2, 2009 | May 2, 2009 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 125650:42132:CA:2023-02-06 | Feb 6, 2023 | Jan 13, 2023 | ANAHEIM, CA | Firm change |