Frank Vaeth

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2022-01-13
NC	RA	APPROVED	2021-12-22
SC	RA	APPROVED	2021-12-22

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Robert W. Baird & Co	Milwaukee	WI	08/2013	06/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Milwaukee	WI	06/2017	09/2018
Wells Fargo Clearing Services	Wilwaukee	WI	09/2018	03/2019
U.S. Bancorp Investments, Inc.	West Allis	WI	03/2019	09/2020
Unemployed	Weddington	NC	09/2020	08/2021
Lpl Financial Llc	Fort Mill	SC	08/2021	Present

08/2013 → 06/2017

Robert W. Baird & Co

Milwaukee, WI
06/2017 → 09/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Milwaukee, WI
09/2018 → 03/2019

Wells Fargo Clearing Services

Wilwaukee, WI
03/2019 → 09/2020

U.S. Bancorp Investments, Inc.

West Allis, WI
09/2020 → 08/2021

Unemployed

Weddington, NC
08/2021 → Present

Lpl Financial Llc

Fort Mill, SC

2021-09-03 → 2021-12-13

Lpl Financial Llc

Fort Mill, SC

Weddington, NC
2019-03-25 → 2020-09-21

U.S. Bancorp Investments, Inc.

West Allis, WI
2018-09-17 → 2019-03-26

Wells Fargo Clearing Services, Llc

St. Louis, MO

Charlotte, NC

Milwaukee, WI
2017-07-25 → 2018-09-07

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Milwaukee, WI
2014-02-21 → 2017-06-23

Robert W. Baird & Co. Incorporated

Milwaukee, WI

Milwaukee, WI

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-02-20
S63	Uniform Securities Agent State Law Examination	2002-10-11