Firm Start Year

CRD#

• 4292753

Firm CRD#

• 6413

Insurance License#

• 823581

Name of Broker/Dealer

• LPL FINANCIAL LLC

States Licensed in

• OH, AZ, FL, PA,TX, MI, NY

Years of Experience in Financial Services

• 20

Number of Years with Current Firm

• 1

Work with the following types of clients

• Individual Investors, Businesses, Non-Profit Organizations

Foreign Languages Serviced

• NA

Advisory Services Provided

• Financial Advice & Consulting, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management

Registered Representative

• Yes

Investment Advisor Representative

• Yes

Acknowledged fiduciary

• Yes

Compliance Disclosures in Last 5 years

• I have a clean record

Criminal Disclosures in Last 5 years

• I have a clean record

Securities Licenses

• Series 7, Series 66

Insurance and Annuity Licenses

• Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity, Disability

Advisor's Number of Clients

• 50

Advisor's Number of Managed Clients

• 20

Advisor's Number of Planning Clients

• 20

Assets Managed by Advisor

• $10000000

Fee Structure

• Fee-Based

Minimum Portfolio Size for New Managed Accounts

• $25,000

Compensation Methods

• Commissions, Based on Assets, Flat Fee

Hourly Rate

• NA

Business Marketing - Business

• University of Dayton
  07/03/1995 - 06/01/1999