Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dwaine? Claim Your ProfileDwaine Harold Baasch, Jr. is a financial advisor with LPL Financial LLC. He is also registered with the state of California as an Investment Advisor Representative. Dwaine has over 13 years of experience in the financial services industry and is committed to providing personalized advice to individuals and families. Prior to joining LPL Financial, Dwaine was with Securities America, Inc. and Woodbury Financial Services, Inc. Dwaine specializes in financial planning, investment management, and retirement planning. He is a CERTIFIED FINANCIAL PLANNER™ professional and holds the Series 7 and Series 66 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
03/25/2024 - Present
LPL Financial LLC (FOLSOM CA)
CA
09/05/2012 - 03/25/2024
SECURITIES AMERICA, INC. (Folsom CA)
CA
09/23/2010 - 09/10/2012
WOODBURY FINANCIAL SERVICES, INC. (ROCKLIN CA)
CA
01/01/2010 - 09/17/2010
H.D. VEST INVESTMENT SERVICES (ROCKLIN CA)
BOTH
Issued 01/18/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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