Daniel Joseph Gandolph

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

• 09/2009 → Present
  Lpl Financial Llc
  Greenwood, IN
• 09/2015 → Present
  Gandolph Financial Services, Llc
  Greenwood, IN

Other Businesses

(1) 11/12/2009: Gandolph Financial Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 01/08/2014: Gandolph Financial Services, LLC - Non-Variable Insurance DBA - Investment Related - At Reported Business Location(s) - 5% Time Spent - I do sell life insurance, disability insurance, and long term care, and may do some fixed annuities. (3) 09/11/2015: Gandolph Financial Services, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 781 Old Eagle Way, Suite A, Greenwood, IN. 46143 - Start 01/01/2014 - 160 Hr/Mo; 100 Hour(s) During Securities Trading - Financial Services. (4) 05/24/2022 - RGS Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/03/2022 - 10 Hours Per Month/ 1 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-07-18
• S63 Uniform Securities Agent State Law Examination
  1997-10-02