Joseph John Betten

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

• 05/2010 → 07/2017
  Cco Investment Services Corp
  Pittsburgh, PA
• 07/2017 → Present
  Lpl Financial, Llc
  Pittsburgh, PA

Previous Registrations

• 2010-06-30 → 2017-07-20
  Citizens Securities, Inc.
  Bethel Park, PA
  Whitehall, PA
  Pittsburgh, PA
  Mckees Rocks, PA
  Bethel Park, PA
  Bethel Park, PA
  Washington, PA
  Pittsburgh, PA
  Pittsburgh, PA
  Pittsburgh, PA
  Bethel Park, PA

Other Businesses

1. 07/19/2017 - IFINANCIAL SERVICES GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 98%/ PITTSBURGH, PA. 2. 11/7/2017 - iFinancial Services Group - Investment Related - At Reported Business Location(s) - Insurance Agency - Started 10/19/2017 - 5 Hours Per Month/2 Hours During Securities Trading. 3. 3/12/2018 - Betten Inc - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2018 - 2 Hours Per Month/0 Hours During Securities Trading. 4. 4/3/2018 - iFinancial Services Insurance Group - Investment Related - At Reported Business Location(s) - Insurance Agency - Started 02/21/2018 - 10 Hours Per Month/3 Hours During Securities Trading. 5. 6/29/2018 - iFinancial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/17/2017 - 40 Hours Per Month/40 Hours During Securities Trading. 6. 10/31/2023 - Investment Related - 518 Hanover Kendall Road, Hookstown PA 15050 - Real Estate Rental - Start Date: 11/01/2023 - 4 Hours Per Month/0 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-06-29
• S63 Uniform Securities Agent State Law Examination
  1997-12-02

Other Names

• Joseph John Betten