Douglas M Garback

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 10/1988 → Present
  Prudential Insurance Company Of America
  Longboat Key, FL
• 10/1988 → 11/2024
  Pruco Securities, Llc.
  Longboat Key, FL
• 11/2024 → Present
  Lpl Enterprise, Llc
  North Brunswick, NJ

Previous Registrations

• 2002-06-19 → 2024-11-14
  Pruco Securities, Llc.
  Forked River, NJ
  East Brunswick, NJ
  North Brunswick, NJ
  Red Bank, NJ
  East Brunswick, NJ
  Fort Mills, SC
  Iselin, NJ
  Longboat Key, FL
  North Brunswick, NJ

Other Businesses

1) 11/14/2024 - Brunswick Financial Group, LLC - Non-Variable Insurance - North Brunswick, NJ - INV REL - Start Date 05/01/2001 - 1hr/mth 2) 11/14/2024 - John/Douglas LLC - Real Estate Rental - North Brunswick, NJ - INV REL - Start Date 01/01/2019 - 1hr/mth 3) 11/14/2024 - The Garback Agency LLC - Property and Casualty - North Brunswick, NJ - INV REL - Start Date 01/01/2003 - 10hrs/mth | 7hrs during trading 4) 11/14/2024 - The Garback Agency - DBA for LPL Business (entity for LPL business) - North Brunswick, NJ - INV REL - Start Date 01/01/2003 - 30hrs/mth 5) 03/05/2025-The Garback Agency-Property & Casualty Manager-Inv Related-At North Brunswick, NJ-Start date 06/12/2023-4hrs/mth-0hrs/mth during trading 6) 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s) 7) 08/25/2025-Garback Financial-Owner/Planner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 08/18/2025-120hrs/mth-120hrs/mth during trading 8) 12/05/2025-Garback Financial-CEO-Property and Casualty-Inv Related-At Longboat Key, FL, Start date 12/02/2025-10hrs/mth-7hrs/mth during trading

Exams

• S63 Uniform Securities Agent State Law Examination
  2002-02-07
• S65 Uniform Investment Adviser Law Examination
  2000-08-21

Other Names

• Douglas Mark Garback
• Doug Garback
• Douglas Mark Garback