Albert S Heaton

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

• 12/2012 → Present
  Lpl Financial, Llc
  Trevose, PA

Previous Registrations

• 2007-06-05 → 2012-12-13
  Stifel, Nicolaus & Company, Incorporated
  Marlton, NJ
• 2005-12-14 → 2007-06-05
  Ryan Beck & Co.
  Marlton, NJ
  Cherry Hill, NJ
• 2005-08-11 → 2005-12-06
  Morgan Stanley Dw Inc.
  Doylestown, PA

Other Businesses

1. 12/07/2012: Not Investment Related - Other-Referee - Time Spent 1% - Ice Hockey Referee. 2. 12/07/2012: Well Advised Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 3. 12/07/2012: Schlensinger & Associates - Not Investment Related - Outside/W-2 Employment - Time Spent 1% - Participant. 4. 4/26/2017 - Group Dynamics In Focus - Not Investment Related - The 555 Building, City Line Avenue and Presidential Boulevard, 6th Floor, Bala Cynwyd, PA. - Outside/W-2 Employment - Start 04/26/2017 - 2 Hours Per Month/0 Hours During Securities Trading - Participant in a market research study.

Exams

• S63 Uniform Securities Agent State Law Examination
  2002-10-22
• S65 Uniform Investment Adviser Law Examination
  2002-10-21

Other Names

• Albert S. Heaton
• Albert S Heaton