Daniel Leonard Owen

LPl Financial LLC

CRD 4229802

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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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
WY	RA	APPROVED	2019-01-03
SC	RA	APPROVED	2016-09-26
TX	RA	APPROVED_RES	2010-04-09
CA	RA	APPROVED	2008-07-18
NC	RA	APPROVED	2008-07-18

WY RA
APPROVED

Since 2019-01-03
SC RA
APPROVED

Since 2016-09-26
TX RA
APPROVED_RES

Since 2010-04-09
CA RA
APPROVED

Since 2008-07-18
NC RA
APPROVED

Since 2008-07-18

Branch Locations

Lexington, NC • United States

1055 Lpl Way, Fort Mill, SC 29715 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Uvest	Charlotte	NC	07/2005	Present

07/2005 → Present

Uvest

Charlotte, NC

Previous Registrations

2005-07-29 → 2008-07-18

Uvest Financial Services Group, Inc.

Charlotte, NC

Charlotte, NC
2004-09-16 → 2005-08-01

Harrisdirect Llc

Charlotte, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-09-15
S63	Uniform Securities Agent State Law Examination	2001-03-07

S66 Uniform Combined State Law Examination

2004-09-15
S63 Uniform Securities Agent State Law Examination

2001-03-07

View on SEC IAPD

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