Carol Leslie Fromhagen

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2005 → 03/2021
  H. Beck, Inc.
  Rockville, MD
• 01/1998 → Present
  Clf Financial Services, Inc
  Atlanta, GA
• 04/2021 → Present
  Grove Point Advisors, Llc
  Rockville, MD
• 04/2021 → Present
  Grove Point Investments, Llc
  Rockville, MD
• 05/2025 → Present
  Lpl Financial Llc
  Atlanta, GA
• 05/2025 → Present
  Lpl Financial Llc
  Atlanta, GA

Previous Registrations

• 2021-04-01 → 2025-05-01
  Grove Point Advisors, Llc
  Rockville, MD
  Atlanta, GA
  Rockville, MD
• 2006-03-13 → 2021-04-01
  Grove Point Investments, Llc
  Rockville, MD
  Atlanta, GA
  Atlanta, GA
  Atlanta, GA
  Atlanta, GA

Other Businesses

INSURANCE, CLF FINANCIAL SERVICES, INC. POSITION: Financial Advisor NATURE: Insurance Sales (Investment-Related OBA) INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1998 ADDRESS: 1311 English St.,NW, Atlanta GA 30318, United States DESCRIPTION: Consultation and sales of fixed insurance and annuities. THE GILLY PARTNERSHIP POSITION: General Partner NATURE: Other OBA INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 1460 Ocean Blvd Unit 108, Ocean Blvd., St. Simon's Island GA 31522, United States DESCRIPTION: Air BnB

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-03-02
• S63 Uniform Securities Agent State Law Examination
  1988-01-28

Other Names

• Carol Sterrett
• Carol Fromhagen