Neil Kristian Fluken

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

• 03/2009 → 08/2020
  Securian Financial Services, Inc.
  St. Paul, MN
• 03/2009 → Present
  Sgc
  San Mateo, CA
• 08/2020 → Present
  Lpl Financial
  Sacramento, CA

Previous Registrations

• 2006-10-13 → 2020-09-04
  Securian Financial Services, Inc.
  Sacramento, CA
  San Mateo, CA
  Sacramento, CA

Other Businesses

1. 3/2009 - DBA for LPL Business (entity for LPL business) - SGC Financial & Insurance Services - Investment Related - San Mateo, CA 94404 2. 03/23/2022 - SageCrest Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/22/2022 - 160 Hours Per Month/40 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2001-07-06

Designations

• Certified Financial Planner