Donald Joseph Connick

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

• 02/2014 → 09/2016
  Wells Fargo Bank, Na
  Mobile, AL
• 10/2014 → 09/2016
  Wells Fargo Advisors, Llc.
  Mobile, AL
• 09/2016 → 05/2022
  Cetera Investment Services Llc
  St.CLoud, MN
• 09/2016 → 05/2022
  Regions Bank
  Mobile, AL
• 09/2016 → 05/2022
  Cetera Investment Advisers Llc
  Mobile, AL
• 05/2022 → 11/2024
  Lincoln Financial Advisors
  Mobile, AL
• 11/2024 → Present
  Lpl Financial Llc
  Mobile, AL

Previous Registrations

• 2022-05-26 → 2024-11-08
  Osaic Fa, Inc.
  Mobile, AL
• 2016-09-06 → 2022-05-27
  Cetera Investment Advisers Llc
  Mobile, AL
• 2014-12-17 → 2016-09-13
  Wells Fargo Clearing Services, Llc
  Mobile, AL
  Birmingham, AL
• 2009-06-04 → 2009-08-20
  Bbva Compass Investment Solutions, Inc
  Mobile, AL
• 2008-09-08 → 2008-12-19
  Cetera Investment Services Llc
  Mobile, AL
• 2007-03-16 → 2008-09-11
  Rbc Capital Markets, Llc
  Charlotte, NC
  Mobile, AL
• 2007-03-05 → 2007-03-27
  Morgan Keegan & Company, Llc
  Mobile, AL
• 2005-01-24 → 2007-02-20
  Amsouth Investment Management Company Llc
  Mobile, AL
• 2003-07-10 → 2003-10-16
  Amsouth Investment Management Company Llc
  Birmingham, AL
• 2003-01-30 → 2003-09-22
  Amsouth Investment Services, Inc.
  New Orleans, LA

Other Businesses

1)10/18/2024 - First Financial Group of the South, Inc - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/2022 - 160 Hr/Mth 2)10/18/2024 - Real Estate Rental Property - Joint Owner - Inv Rel - Miramar Beach, FL - Start: 08/2014 - 1 Hr/Mth

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-12-17
• S63 Uniform Securities Agent State Law Examination
  2014-11-26

Other Names

• Dj Connick
• Donald Joseph Connick
• Donald Joseph Connick