Alan Lao

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

• 06/1996 → 12/2017
  Tokyo Restaurant
  Providence, RI
• 04/2014 → 07/2021
  Waddell & Reed, Inc.
  West Warwick, RI
• 10/2014 → 07/2021
  Various Insurance Carriers For W&R Insurance Agencies
  East Providence, RI
• 11/2016 → 07/2021
  Colonial Life
  Providence, RI
• 01/2018 → 07/2021
  Brea Hutchinson
  West Warwick, RI
• 05/2019 → 07/2021
  Bjh Llc
  West Warwick, RI
• 10/2020 → 07/2021
  Rc Restaurant Group
  Providence, RI
• 07/2021 → Present
  Lpl Financial Llc
  West Warwick, RI

Previous Registrations

• 2014-10-31 → 2021-07-21
  Waddell & Reed
  West Warwick, RI
  Hamden, CT
  West Warwick, RI

Other Businesses

1- 07/2021 / BJH LLC / Business Entity For Tax/Investment Purposes Only / Non Investment Related / West Warwick, RI 02893 2- 2016 / Colonial Life / Non-Variable Insurance / Investment Related / Providence, RI 02903 3- 11/16/2022 - Sardelli & Hutchinson Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/07/2022 - 0 Hours Per Month/0 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2014-10-31
• S63 Uniform Securities Agent State Law Examination
  2000-11-16