Lee Russell Applebaum

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_RES	2023-01-18
AL	RA	APPROVED	2011-12-15

TX RA
APPROVED_RES

Since 2023-01-18
AL RA
APPROVED

Since 2011-12-15

Branch Locations

Vestavia, AL • 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	Birmingham	AL	12/2011	Present

12/2011 → Present

Lpl Financial Llc

Birmingham, AL

Previous Registrations

2005-08-12 → 2011-12-23

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Birmingham, AL

Birmingham, AL
2002-07-02 → 2006-12-31

Atlantis Investment Management Corp.

Birmingham, AL

Other Businesses

1. 3/20/2012: FOR ACCOUNTING PURPOSES ONLY - ELAYZ, LLC - THIS ENTITY IS NOT HELD OUT TO THE PUBLIC, IT IS FOR ACCOUNTING PURPOSES ONLY - Investment Related - Business Entity For Tax/Investment Purposes Only. 2. 8/24/2020 - CBC Retirement Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/03/2020 - 2 Hours Per Month During Securities Trading. 3) 09/30/2025 - Havidel Retirement Solutions - Investment Related - At Reported Business Location(s) -DBA for LPL Business (entity for LPL business) - Start Date:09/01/2025 - 800 Hrs/Mth - 8 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-12-02

S66 Uniform Combined State Law Examination

2005-12-02

View on SEC IAPD