Kenneth Marc Segal

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
PA	RA	APPROVED	2010-05-11

PA RA
APPROVED

Since 2010-05-11

Branch Locations

2001 Market St Ste 2500, Ofc 2540, Philadelphia, PA 19103 • United States

Philadelphia, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Philadelphia	PA	05/2010	Present

05/2010 → Present

Lpl Financial Llc

Philadelphia, PA

Previous Registrations

2003-07-21 → 2010-05-12

Ameriprise Financial Services, Llc

Philadelphia, PA

Other Businesses

(1) 05/07/2010 - DBA ONLY - INDEPENDENCE FINANCIAL CONSULTANTS - PHILADELPHIA, PA (2) 11/04/2010 - NON-VARIABLE INSURANCE, UNITEDHEALTHCARE PILOT PROGAM AND SELLING DISABILITY INSURANCE THROUGH PLUSGROUP - 5% OF TIME SPENT - PHILADELPHIA, PA (3) 11/08/2011 - UNITEDHEALTHCARE - NON-VARIABLE INSURANCE - UNITEDHEALTHCARE PILOT PROGAM, AND SELLING DISABILITY INSURANCE THROUGH PLUSGROUP, GUARDIAN LIFE AND UNION CENTRAL LIFE. - 5% OF TIME SPENT - PHILADELPHIA, PA. (4) 09/11/2013 - WERNER-ROCCA SEMINARS, LTD. - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - speaker/seminar - OTHER-CPE INSTRUCTOR - CONDUCT CONTINUING EDUCATION WORKSHOPS FOR CPAS ON NON-SECURITIES AND PERHAPS SOME SECURITIES RELATED TOPICS I CREATE. - TIME SPENT 10% (5) 08/09/2016 * LTCI Partners * Non-Variable Insurance * INV REL * 832 North Newkirk Street, Philadelphia, PA 19130 * START 08/05/2016 * 2 HRS/MO DURING SECS TRDG HRS. (6) 4/28/2020 - BackNine Insurance and Financial Services, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 04/27/2020 - 5 Hours Per Month/5 Hours During Securities Trading - Life, Disability and Long Term Care Insurance insurance products. (7) 10/05/2022 - Sage Insurance Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 09/27/2022 - 2 Hours Per Month/2 Hours During Securities Trading.