Kavon James Novak

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	2007-01-10

TX RA
APPROVED

Since 2007-01-10

Branch Locations

Caldwell, TX • 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	Caldwell	TX	01/2007	Present

01/2007 → Present

Lpl Financial, Llc

Caldwell, TX

Previous Registrations

1998-01-02 → 2007-01-04

Ameriprise Financial Services, Llc

Caldwell, TX

Other Businesses

1. 04/29/2015 - BRAZOS VALLEY COUNCIL OF GOVERNMENTS - NOT INV REL - Non-Profit Board Member - Bryan, TX - START 05/13/2015 - 3 hour per month/ 3 hours during trading 2. 12/05/2024 - Real Estate Rental - Investment Related - Caldwell, TX - Start Date 01/01/2024 - 1 hour per month/ 0 hours during trading 3) 06/23/2025 - City of Caldwell - Investment Related - Non-Profit Board Member - Caldwell, TX - Start Date:05/09/2015 - 4 Hrs/Mth - 1 Hrs During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-08-27
S63	Uniform Securities Agent State Law Examination	1997-12-30

S65 Uniform Investment Adviser Law Examination

2020-08-27
S63 Uniform Securities Agent State Law Examination

1997-12-30

View on SEC IAPD