John Faulkner Paxton

Employer firm

Claris Financial, LLC CRD 168503

$330M regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2009 → 05/2017
  Lpl Financial Llc
  Glen Allen, VA
• 01/2009 → Present
  Claris Financial, Llc
  Glen Allen, VA
• 05/2017 → 09/2022
  Triad Advisors, Inc.
  Norcross, GA

Previous Registrations

• 2009-01-09 → 2014-01-15
  Lpl Financial Llc
  Glen Allen, VA
  San Diego, CA
  Glen Allen, VA
• 1999-10-01 → 2009-01-12
  Wells Fargo Clearing Services, Llc
  Richmond, VA
  Richmond, VA

Other Businesses

1)Outside insurance;investment related;offer insurance solutions to clients;1/1/2009;1 hr/month;0 hrs during trading;agent 2)Oyster Holdings,Inc;not investment related;4128 Innslake Drive,Glen Allen,VA;holding company of consulting subsidiaries;passive owner;1/1/2009;0 hrs/month;0 hrs during trading;passive owner in holding company 3)Oyster Consulting;not investment related;Glen Allen,VA;compliance consulting firm;owned by Oyster Holdings;1/1/2009;0 hrs/month;0 hrs during trading;no involvement with this firm 4)Oyster Solutions;not investment related;Glen Allen,VA;provides compliance technology applications;entity owned by Oyster Holdings;1/1/2009;0 hrs/month;0 hrs during trading;no involvement with this firm 5)Oyster Bermuda;not investment related;Bermuda;compliance consulting in Bermuda;Oyster Holdings is a part owner of this entity;3/2012;0 hrs/month;0 hrs during trading;I have no operational or managerial involvement or responsibilities with Oyster Holdings or Oyster Bermuda 6)Pearl Staffing;not investment related;Glen Allen,VA;compliance consulting staffing firm;this is a wholly owned subsidiary of Oyster;6/2011;0 hrs/month;0 hrs during trading;I am a passive investor in Oyster

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-03-05
• S63 Uniform Securities Agent State Law Examination
  1997-02-24