Duane William Sunby

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

• 08/2005 → 05/2021
  First Discount Brokerage, Inc.
  Wpb, FL
• 06/2021 → Present
  Lpl Financial Llc
  Shrewsbury, NJ

Previous Registrations

• 2015-02-12 → 2021-07-01
  1St Discount Brokerage, Inc.
  Red Bank, NJ
  Shrewsbury, NJ
• 2002-06-28 → 2005-07-13
  Msi Financial Services, Inc.
  Roseland, NJ

Other Businesses

1)06/23/2021 - Sycamore Retirement Consultants - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 062021 - 50 Hr/Mth 2)06/03/2021 - NPPG, LLC, NPPG Employee Benefits LLC. - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 07/2005 - 80 Hr/Mth 3)12/7/2022 - DWS Financial, LLC. - Business Entity For Tax/Investment Purposes Only - Inv Rel - Home Based - Start: 07/2005 - 4 Hours Per Month/1 Hours During Securities Trading - Time Spent 1%

Exams

• S66 Uniform Combined State Law Examination
  2014-03-03

Other Names

• Duane W Sunby