Kari Middleton

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

• 12/2010 → Present
  Lpl Financial, Llc
  Palm Desert, CA

Previous Registrations

• 2010-02-09 → 2011-01-13
  Integrated Wealth Management, Inc.
  Marina Del Rey, CA
• 2008-05-09 → 2010-01-25
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Indian Wells, CA
• 2005-01-24 → 2006-05-16
  Banc Of America Investment Services, Inc.
  San Diego, CA
  San Diego, CA
• 2001-05-08 → 2005-03-10
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  La Jolla, CA

Other Businesses

1. 10/8/2012 - ACT IN A FIDUCIARY CAPACITY - THE SUTTILE FAMILY TRUST - GRANDMOTHERS ESTATE PEGGY I SUTTILE, SUTTILE FAMILY TRUST - TIME SPENT 2%. 2. 1/26/2017 - BGA Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/30/2016 - 40 Hours Per Month/10 Hours During Securities Trading. 3. 11/29/2017 - DUKES FOR AKER, LLC - Not Investment Related - Home Based, and Beumont & Cathedral City CA - Real Estate Rental - Started 10/05/2011 - 15 Hours Per Month During Securities Trading - RENT REAL ESTATE IN APARTMENT BUILDINGS. 4. 4/23/2018 - No Business Name - Not Investment Related - PALM DESERT, CA & LA JOLLA, CA - Real Estate Rental - Started 07/01/2016 - 1 Hours Per Month/0 Hours During Securities Trading. 5. 11/9/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:08/22/2018 - 1 Hours Per Month/1 Hours During Trading. 6. 10/13/2021 - Advocate Health Advisors - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 07/01/2021 - 2 Hours Per Month/2 Hours During Securities Trading. 7. 12/5/2022 - The Cason Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 11/22/2022 - 20 Hours Per Month/20 Hours During Securities Trading 8. 07/03/2023 - Highland Capital Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 06/01/2023 - 15 Hours Per Month/ 15 Hours During Securities Trading 9. 11/10/2025 - Five Star Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/01/2016 - 120 hours per month/ during trading 10. 11/10/2025 - Medical Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/03/2013 - 100 hours per month/ during trading 11. 11/10/2025 - Middleton Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/01/2015 - 40 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2001-04-30

Other Names

• Kari Middleton
• Karianne Middleton
• Karianne Middleton Hendrix