Sonya Joo Stocks Phillips

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

• 05/2013 → Present
  Lpl Financial Llc
  Charlotte, NC
• 05/2013 → Present
  Old National Bank
  Evansville, IN

Previous Registrations

• 2013-01-24 → 2013-04-05
  Synovus Securities, Inc.
  Columbus, GA
  Destin, FL
• 2009-11-30 → 2012-09-21
  Lpl Financial Llc
  Fort Mill, SC
  Evansville, IN
• 2006-01-04 → 2009-12-01
  Invest Financial Corporation
  Evansville, IN
• 2002-08-13 → 2005-12-01
  Onb Investment Services, Inc.
  Evansville, IN

Other Businesses

1. 11/13/2023 - OLD NATIONAL BANK - Financial Institution Duty - Investment Related - At Reported Business Location(s) - Start Date 10/05/2023 - 5 Hours Per Month/ During Trading 2. 04/02/2025 - Old National Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/02/2025

Exams

• S66 Uniform Combined State Law Examination
  2001-04-24

Other Names

• Sonya Joo Stocks
• Sonya Joo Golike
• Sonya Joo Stocks
• Sonya Joo Stocks-Phillips