Caleb James Kirby

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

• 10/2001 → Present
  American National Insurance
  Goffstown, NH
• 10/2006 → 03/2019
  Securities Management And Research, Inc
  Manchester, NH
• 08/2011 → 03/2019
  Bfc Planning
  Manchester, NH
• 03/2019 → Present
  Lpl Financial Llc
  Goffstown, NH
• 04/2019 → Present
  Northeast Planning Associates, Inc.
  Goffstown, NH

Previous Registrations

• 2011-08-16 → 2019-04-01
  Bfc Planning, Inc.
  Cedar Rapids, IA
  Manchester, NH
• 2006-03-27 → 2006-10-19
  American Portfolios Advisors, Inc
  Holbrook, NY

Other Businesses

1. 3/29/2019 - Northeast Planning Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/01/2019 - 140 Hours Per Month/8 Hours During Securities Trading - Time Spent 80%. 2. 3/29/2019 - AMERICAN FAMILY FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - Insurance Agency - Managing Member/Owner - Start Date: 5/01/2000 - 25 Hours Per Month/1 Hour During Securities Trading - Time Spent 10% - Life Insurance and Annuities. 3. 4/11/2019 - Northeast Planning Associates - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date: 03/31/2019 - 20 Hours Per Month/2 Hours During Securities Trading - I provide financial planning and consulting services through Northeast Planning Associates, an independent investment advisor firm. I started this business activity in 3/2019. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 4. 11/26/2019 - American National Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 05/01/2000 - 15 Hours Per Month During Securities Trading. 5. 1/6/2020 - American Family Financial Group LLC - Investment Related - 558 MAST ROAD, SUITE 2, GOFFSTOWN, NH 03045 - Real Estate Rental - Started 01/02/2020 - 0 Hours Per Month.

Exams

• S63 Uniform Securities Agent State Law Examination
  2002-04-26

Designations

• Certified Financial Planner