Mark Douglas Godes

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_RES	2024-06-10
IL	RA	APPROVED	2023-01-09

TX RA
APPROVED_RES

Since 2024-06-10
IL RA
APPROVED

Since 2023-01-09

Branch Locations

San Tan Valley, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
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	Naperville	IL	12/2005	Present
Optimal Wealth & Investments, Inc.	Naperville	IL	09/2007	Present

12/2005 → Present

Lpl Financial Llc

Naperville, IL
09/2007 → Present

Optimal Wealth & Investments, Inc.

Naperville, IL

Other Businesses

(1) 08/28/2012 - NOTARY PUBLIC / NOTARIZE CLIENT RELATED DOCUMENTS. I DO NOT NOTARIZE FOR THE PURPOSE OF EARNING ANY COMPENSATION. (2) 02/28/2022 - Optimal Wealth & Investments - DBA: Optimal Wealth & Investments, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/17/2021 - 140 Hours Per Month/100 Hours During Securities Trading. (3) 04/04/2022 - CFG Planning Services - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 12/17/2021- 5 Hours Per Month/ 0 Hours During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-10-22

S63 Uniform Securities Agent State Law Examination

1996-10-22

Designations

Certified Financial Planner

Other Names

Mark Douglas Bennett

View on SEC IAPD