Sandy Brown

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

• 05/2017 → 10/2023
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fresno, CA
• 10/2010 → 07/2017
  New Covenant Community Church
  Fresno, CA
• 07/2017 → 10/2023
  Bank Of America, N.A.
  Fresno, CA
• 10/2023 → Present
  Lpl Financial Llc
  Fresno, CA

Previous Registrations

• 2017-07-12 → 2023-10-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fresno, CA
• 2011-04-05 → 2016-05-17
  Scf Investment Advisors, Inc.
  Fresno, CA
• 2005-09-02 → 2011-03-01
  Principal Securities, Inc.
  Fresno, CA
  Fresno, CA
• 2004-09-17 → 2005-08-09
  Ubs Financial Services Inc.
  Fresno, CA
• 2001-06-25 → 2004-10-04
  Citigroup Global Markets Inc.
  Fresno, CA

Other Businesses

1) 08/13/2024 - EYE Q VISION CARE - Outside/W-2 Employment - Admin Role - Not Investment Related - 7075 N SHARON AVE FRESNO, CA 93720 - Start Date 2022 - 40 Hours Per Month/ 2 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-01-09
• S63 Uniform Securities Agent State Law Examination
  2000-12-22