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Detailed Report
KHUSHWANT SINGH THANDI
CRD#: 4808365
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 555 S. LAKE AVENUE
PASADENA, CA 91101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2008 (3 years)2 FIRMS2022 - Present (2 years)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)2017 - 2022 (4 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2008 - 2008 (<1 year)IACUNA BROKERAGE SERVICES, INC. (CRD# 13941)2020 - 2022 (1 year)
License(s)

State Registrations

B
California 5/18/2022
IA
California 5/18/2022

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)
555 S. LAKE AVENUE, PASADENA, CA 91101
332 S CALIFORNIA, WEST COVINA, CA 91790-2913
Registered with this firm since 5/18/2022
B
LPL FINANCIAL LLC (CRD#:6413)
555 S. LAKE AVENUE, PASADENA, CA 91101
332 S CALIFORNIA, WEST COVINA, CA 91790-2913
Registered with this firm since 5/18/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/07/2020 - 05/18/2022 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) Pasadena, CA
B
 07/06/2017 - 05/18/2022 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) Pasadena, CA
B
 04/09/2008 - 09/05/2008 NATIONAL PLANNING CORPORATION (CRD#:29604) CORONA, CA
IA
 08/16/2004 - 02/11/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LA VERNE, CA
B
 08/05/2004 - 02/11/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LA VERNE, CA
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.