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Detailed Report
SHAWN MICHAEL HOCHULI
CRD#: 4149403
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 3 PARK PLAZA, SUITE 1490
IRVINE, CA 92614
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - Present (20 years)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2005 (4 years)IAMORGAN STANLEY (CRD# 7556)2001 - 2005 (4 years)
Disclosure(s)
View By:
7/7/2011
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 3/11/2005
B
New York 10/12/2009
B
California 3/11/2005
B
North Carolina 4/26/2012
IA
California 3/11/2005
B
Ohio 8/27/2012
B
Colorado 7/10/2017
B
Oklahoma 10/12/2009
B
District of Columbia 1/9/2015
B
Oregon 10/12/2009
B
Florida 10/4/2018
B
Pennsylvania 5/14/2015
B
Georgia 1/28/2016
B
South Dakota 6/12/2017
B
Idaho 6/8/2006
B
Tennessee 2/8/2010
B
Kansas 5/10/2024
B
Texas 3/11/2005
B
Kentucky 3/2/2016
IA
Texas 3/23/2005
B
Missouri 3/23/2023
B
Utah 8/15/2006
B
Montana 3/27/2023
B
Washington 3/11/2005
B
Nevada 3/11/2005
B
Wisconsin 4/6/2017
B
New Mexico 2/10/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
3 PARK PLAZA, SUITE 1490, IRVINE, CA 92614
Registered with this firm since 3/11/2005
B
LPL FINANCIAL LLC (CRD#:6413)
3 PARK PLAZA, SUITE 1490, IRVINE, CA 92614
Registered with this firm since 3/11/2005
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2001 - 03/14/2005 MORGAN STANLEY (CRD#:7556) ONTARIO, CA
B
 05/15/2000 - 03/14/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.