Patricia Ann Paulik

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

• 03/2013 → Present
  Lpl Financial Llc
  Plainfield, IL
• 03/2013 → 12/2018
  Heartland Bank
  Western Springs, IL

Previous Registrations

• 2010-03-15 → 2013-03-25
  Sanctuary Securities, Inc.
  Oak Park, IL
• 2009-10-23 → 2010-03-19
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
  Norridge, IL
  Norridge, IL
  Oak Brook, IL
  Chicago, IL
• 2008-10-24 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Norridge, IL
  Norridge, IL
  Chicago, IL
• 2003-03-31 → 2008-10-24
  Lasalle Financial Services, Inc.
  Chicago, IL
  Norridge, IL
  Norridge, IL
  Chicago, IL
  Chicago, IL
  Chicago, IL
  Chicago, IL

Other Businesses

1. 04/28/2014 - MANAGEMENT - PPLK MANAGEMENT - FUNDING A MANAGEMENT COMPANY TO COLLECT RENTS FOR OTHER REAL ESTATE OWNED. ROLE IS MANAGER/OWNER. - 5% OF TIME SPENT 2. 04/04/2019 - PPLK Strategic Planning Services - Not investment related - At reported business location(s) - Business Entity For Tax/Investment Purposes Only - start date:01/31/2019 - 4 hrs/mo - 0 hrs during trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-03-29
• S63 Uniform Securities Agent State Law Examination
  1991-03-28

Other Names

• Patricia Paulik