Brian Keith Puddy

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

• 02/2006 → 03/2018
  Sii Investments, Inc.
  Appleton, WI
• 03/2018 → 12/2018
  Massmutual Idaho
  Meridian, ID
• 03/2018 → 12/2018
  Mml Investors Services, Llc
  Meridian, ID
• 12/2018 → Present
  Lpl Financial Llc
  Boise, ID

Previous Registrations

• 2018-04-04 → 2018-12-20
  Mml Investors Services, Llc
  Meridian, ID
• 2006-02-28 → 2018-03-19
  Sii Investments, Inc.
  Appleton, WI
• 2015-01-02 → 2018-03-19
  Investment Centers Of America, Inc.
  Appleton, WI
• 2004-01-05 → 2004-01-05
  Msi Financial Services, Inc.
  Mosinee, WI

Exams

• S66 Uniform Combined State Law Examination
  2006-09-07

Other Names

• Brian K. Puddy