Norman Frank Hall

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

• 08/2009 → 04/2020
  Calton & Associates, Inc.
  Little Rock, AR
• 04/2020 → Present
  Lpl Financial Llc
  Little Rock, AR

Previous Registrations

• 2013-08-23 → 2020-04-09
  Calton & Associates, Inc.
  Little Rock, AR
  Little Rock, AR
  Tampa, FL
  Tampa, FL
• 2009-08-26 → 2013-08-21
  Calton & Associates, Inc.
  Little Rock, AR
• 2008-10-20 → 2009-08-28
  Wfg Advisors, Lp
  Little Rock, AR
• 2006-09-21 → 2008-10-03
  Kestra Investment Services, Llc
  Little Rock, AR
• 2003-09-15 → 2005-07-06
  Bok Financial Securities, Inc.
  Little Rock, AR
• 2002-08-19 → 2003-03-25
  Investment Professionals, Inc.
  Little Rock, AR
• 2000-03-23 → 2002-08-21
  Morgan Keegan & Company, Llc
  Little Rock, AR

Other Businesses

1. 4/15/2020 - Innovations Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/14/2020 - 172 Hours Per Month During Securities Trading. 2. 6/16/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Agent - Started 06/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 03/05/2024 - Outside/W-2 Employment - Senior Administrative Assistant - Investment Related - At Reported Business Location(s) - Start Date 02/15/2024 - 40 Hours Per Month/ 2 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-28
• S63 Uniform Securities Agent State Law Examination
  1991-12-04

Other Names

• Norm Hall
• Norman Frank (Iii) Hall