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JAMES PATRICIO HANNA
CRD#: 1863155
IA
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LPL ENTERPRISE, LLCCRD#: 8733 3333 MICHELSON DRIVE
SUITE 820
IRVINE, CA 92612
SUITE 820
IRVINE, CA 92612
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6/18/1999
Employment Separation After Allegations
State Registrations
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California 11/14/2024
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Nevada 11/14/2024
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California 11/14/2024
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Utah 11/14/2024
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Missouri 3/20/2025
SRO Registrations
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 11/14/2024
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Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/23/2021 - 11/14/2024 | IRVINE, CA | |
B | 08/23/2021 - 11/14/2024 | IRVINE, CA | |
IA | 03/25/2017 - 08/19/2021 | Brea, CA | |
B | 03/25/2017 - 08/19/2021 | Brea, CA | |
IA | 04/04/2003 - 03/25/2017 | RANCHO CUCAMONGA, CA | |
B | 09/26/2002 - 03/25/2017 | RANCHO CUCAMONGA, CA | |
B | 09/26/2002 - 07/09/2007 | SAN BERNARDINO, CA | |
B | 04/20/2000 - 10/01/2002 | NEW YORK, NY | |
B | 10/19/1999 - 03/31/2000 | COLUMBUS, OH | |
B | 09/04/1999 - 10/25/1999 | MINNEAPOLIS, MN | |
B | 11/08/1988 - 06/28/1999 | SPRINGFIELD, MA | |
B | 11/08/1988 - 06/28/1999 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.