Sean J Naftel

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-04-03
CA	RA	APPROVED	2020-03-13

TX RA
APPROVED

Since 2020-04-03
CA RA
APPROVED

Since 2020-03-13

Branch Locations

Simi Valley, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Simi Valley	CA	11/2008	Present

11/2008 → Present

Lpl Financial Llc

Simi Valley, CA

Other Businesses

(1) 01/29/2015 - C & A WEALTH MANAGEMENT, INC - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY C & A WEALTH MANAGEMENT, INC - TIME SPENT 20 HOURS PER MONTH - NORTHRIDGE, CA (2) 5/21/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life Insurance Agent - Started 05/18/2020 - 2 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-03-12
S63	Uniform Securities Agent State Law Examination	2002-07-15

S65 Uniform Investment Adviser Law Examination

2020-03-12
S63 Uniform Securities Agent State Law Examination

2002-07-15

View on SEC IAPD