Geoff Nelson Wolcott

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

• 07/2000 → 08/2017
  Financial West Group
  Westlake Village, CA
• 08/2017 → 06/2025
  Western International Securities, Inc.
  Pasadena, CA
• 06/2025 → Present
  Lpl Financial Llc
  Westlake Village, CA

Previous Registrations

• 2017-08-21 → 2025-06-05
  Western International Securities, Inc.
  Northridge, CA
  Westlake Village, CA
• 2003-11-04 → 2017-08-21
  Financial West Group
  Westlake Village, CA
  Westlake Village, CA
  Westlake Village, CA
  Westlake Village, CA
  Northridge, CA
  Westlake Village, CA

Other Businesses

1. 06/05/2025- Wolcott Investment Group, Inc.- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 01/19/2007- 160 Hours Per Month- 120 Hours During Trading 2. 06/05/2025- Rental Property- Real Estate Rental- INV Related- At Newbury Park, CA- Start date 08/01/2011- 2 Hours Per Month- 1 Hour During Trading 3. 06/05/2025- Geoff Wolcott- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 04/26/2001- 6 Hours Per Month- 3 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2000-10-19
• S63 Uniform Securities Agent State Law Examination
  2000-08-31