Douglas Allan Lipman

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

• 12/2002 → Present
  Linsco/Private Ledger Corp.
  Tarrytown, NY
• 01/2005 → Present
  The Capital Preserve, Inc.
  Tarrytown, NY

Previous Registrations

• 2000-03-03 → 2002-12-05
  National Planning Corporation
  Tarrytown, NY

Other Businesses

1. 12/04/2002 - DBA ONLY / THE CAPITAL PRESERVE, INC. 2. 01/14/2005 - RIA - CAPITAL PRESERVE, INC. 3. 12/08/2006 - NON-VARIABLE INSURANCE / SALE OF NONVARIABLE INSURANCE. / 2% OF TIME SPENT.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-08-01
• S63 Uniform Securities Agent State Law Examination
  1996-08-29