Troy Jens Pugh

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

• 04/2005 → Present
  Lpl Financial Llc
  East Wenatchee, WA

Other Businesses

1. 12/04/2007 - Waypoint Equities, LLC - REAL ESTATE RENTAL - INV REL - At Reported Business Location(s) - WE OWN AN OFFICE BUILDING, ALL OF WHICH WE LEASE OUT AS PROFESSIONAL OFFICES. SOME OF THE BUILDING WE LEASE TO ANOTHER OBA WHICH IS THE DBA WAYPOINT WEALTH MANAGEMENT. OTHER SPACES ARE LEASED TO OTHER PROFESSIONALS THAT ARE NOT ADVISORS OR RIAS. - 2% TIME SPENT 2. 03/17/2011 - www.MeritBadgeKnot.com - Business Owner - NOT INV REL - At Reported Business Location(s) - Website. I manage a registry of people who have reached a specific achievement in Boy Scouts of America. I also sell a patch (for a nominal fee) to commemorate this achievement. - 1% Time Spent 3. 07/30/2014 - WAYPOINT WEALTH MANAGEMENT, LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - At Reported Business Location(s) - 160 Hr/Mo; 160 Hours During Securities Trading 4. 07/26/2016 - Kelly Pugh Trust - Act in a Fiduciary Capacity - INV REL - At Reported Business Location(s) - Start 06/01/2016 - I am one of two trustees for the trust established by my mother for the benefit of my oldest brother, Kelly Pugh. - 1 Hr/Mo; 1 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2005-06-23
• S63 Uniform Securities Agent State Law Examination
  2002-06-06