Lee Daniel Margerison

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	2009-02-06
DE	RA	APPROVED	2007-02-22

TX RA
APPROVED

Since 2009-02-06
DE RA
APPROVED

Since 2007-02-22

Branch Locations

Newark, DE • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
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	Newark	DE	04/2006	Present

04/2006 → Present

Lpl Financial, Llc

Newark, DE

Other Businesses

1. 3/15/2006 - DBA ONLY - CORNERSTONE FINANCIAL SERVICES, LLC - NEWARK, DE. 2. 1/16/2009 - NON-VARIABLE INSURANCE - LONG TERM CARE POLICY RENEWALS - WROTE PRIOR TO EMPLOYMENT WITH EDWARD JONES. ALL ARE THRU GENWORTH FINANCIAL. RESIDUAL COMPENSATION RECEIVED. DOES NOT PLAN TO DO ANY NEW OUTSIDE INSURANCE BUSINESS GOING FORWARD. - TIME SPENT 1% - NEWARK, DE 3. 09/01/2016 - 4 Pierson Lane LLC - Real Estate Rental - Inv Rel - 4 Pierson Lane, Florham Park NJ 07932 - Start 08/18/2016 - Manager - 5 hrs/mo; 0 during securities trading hrs.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-02-21
S63	Uniform Securities Agent State Law Examination	1999-03-26

S66 Uniform Combined State Law Examination

2007-02-21
S63 Uniform Securities Agent State Law Examination

1999-03-26

View on SEC IAPD