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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

SANDRA MARIE HOLGUIN

Advisor at LPL FINANCIAL LLC

PASADENA, CA

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Search this name across graphsid dfx:ria:f440f4a7-4dee-c471-33a9-b11b7e0d11be

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2011 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 31, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Mar 31, 2005
First registration: Mar 29, 2011
Dual registered: yes, broker-dealer
Other names: SANDRA/SANDY MARIE MEDINA|SANDRA/SANDY MARIE CONTRERAS|SANDRA MARIE HOLGUIN|SANDRA HOLGUIN
IAPD individual key: 2640083

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	May 15, 2025	n/a	yes	PASADENA, CA\|PASADENA, CA	Current employment
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jan 16, 2023	May 15, 2025	no	PASADENA, CA\|Pasadena, CA\|SAN DIEGO, CA\|Pasadena, CA	Previous registration
WESCOM FINANCIAL SERVICES, LLC	Former SEC adviser	Nov 7, 2016	Feb 6, 2023	no	GLENDALE, CA\|PASADENA, CA\|PASADENA, CA	Previous registration
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jul 1, 2016	Nov 3, 2016	no	NAPA, CA\|PASADENA, CA	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	Dec 24, 2013	Jul 1, 2016	no	NAPA, CA\|PASADENA, CA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 29, 2011	Jul 18, 2013	no	WOODLAND HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

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 16, 2023	-21	Firm change	RIA to ibd
OSAIC INSTITUTIONS, INC.	WESCOM FINANCIAL SERVICES, LLC	Nov 3, 2016	Nov 7, 2016	4	Firm change	Other
ESSEX NATIONAL SECURITIES, INC.	OSAIC INSTITUTIONS, INC.	Jul 1, 2016	Jul 1, 2016	0	Bulk transfer	Other
VALIC FINANCIAL ADVISORS, INC.	ESSEX NATIONAL SECURITIES, INC.	Jul 18, 2013	Dec 24, 2013	159	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
125650:42132:CA:2023-02-06	Feb 6, 2023	Jan 16, 2023	PASADENA, CA	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jan 16, 2023 to May 15, 2025factForm ADV
→ WESCOM FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 7, 2016 to Feb 6, 2023factForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Jul 1, 2016 to Nov 3, 2016factForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
Dec 24, 2013 to Jul 1, 2016factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 29, 2011 to Jul 18, 2013factForm ADV

Dated events

Occurred
Feb 6, 2023
Advisor changed firm
Sandra Marie Holguin left Wescom Financial Services, Llc for Cuso Financial Services, L.P. (registered 2023-01-16)
Form ADVobserved 5 days ago