Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ian? Claim Your ProfileIan Wetherell is an active investment advisor representative registered with the state of California, and an active investment advisor representative with LPL Financial LLC, where he is registered as a registered representative and is associated with the Concord, CA branch office. Ian has a strong background in the financial services industry, with over 20 years of experience. Prior to joining LPL Financial, Ian worked for Principal Funds Distributor, Inc, Nationwide Investment Services Corporation, Highmark Funds Distributors, LLC, John Hancock Funds, LLC, John Hancock Distributors LLC, Manulife Wood Logan, Inc, and UBS Paine Webber Inc. Ian holds the Series 63, 65, 66, 24 and 7 licenses and the SIE exam. Ian's primary business is in the following areas: 1, 2, 3, 4, 5, and 6. Ian is a well-respected financial advisor with a proven track record of success.
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
03/12/2024 - Present
LPL Financial LLC (CONCORD CA)
IA
01/08/2020 - 03/01/2024
PRINCIPAL FUNDS DISTRIBUTOR, INC. (DES MOINES IA)
OH
10/02/2013 - 12/23/2019
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
ME
02/09/2009 - 09/18/2013
HIGHMARK FUNDS DISTRIBUTORS, LLC (PORTLAND ME)
MA
01/10/2007 - 01/09/2009
JOHN HANCOCK FUNDS, LLC (BOSTON MA)
MA
01/01/2002 - 01/11/2007
JOHN HANCOCK DISTRIBUTORS LLC (BOSTON MA)
CT
12/03/2001 - 01/01/2002
MANULIFE WOOD LOGAN, INC. (STAMFORD CT)
NJ
09/15/1999 - 07/11/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 11/19/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/18/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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