Mark Winston Elliott

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
NJ	RA	APPROVED	2007-09-26

NJ RA
APPROVED

Since 2007-09-26

Branch Locations

Lawrenceville, NJ • 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	Moorestown	NJ	09/2007	Present

09/2007 → Present

Lpl Financial Llc

Moorestown, NJ

Previous Registrations

2003-10-14 → 2007-10-04

A. G. Edwards & Sons, Inc.

Marlton, NJ

Marlton, NJ

Other Businesses

(1)/11/2012: DBA ONLY / ELLIOTT & ELLIOTT FINANCIAL/ MOORESTOWN, NJ (2) 05/28/2015 - ELLIOTT & ELLIOTT - INV REL - 103 CARNEGIE CENTER, STE 300 PRINCETON, NJ 08540 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - START 05/28/15 - 1 HR/MO NOT DURING SECS TRDG HRS

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-11-13

S63 Uniform Securities Agent State Law Examination

1997-11-13

View on SEC IAPD