Christopher Rocco Cottone

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

• 10/2014 → 07/2018
  National Planning Corporation
  Columbia, MO
• 11/2017 → Present
  Lpl Financial Llc
  Columbia, MO
• 01/2015 → Present
  Integrity Investment Advisors, Llc
  Columbia, MO

Previous Registrations

• 2014-10-29 → 2017-11-29
  National Planning Corporation
  Columbia, MO
  El Segundo, CA
  Columbia, MO
  Los Angeles, CA
• 2009-10-14 → 2014-09-26
  Alexander Labrunerie & Co., Inc.
  Columbia, MO

Other Businesses

1. 11/29/2017 - Cottone & Company LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 1/11/2011 - 160 Hours Per Month/130 During Securities Trading. 2. 7/9/2018 - Cottone Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/17/2015 - 160 Hours Per Month/7 Hours During Securities Trading. 3. 7/12/2018 - Integrity Investment Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 01/01/2015 - 10 Hours Per Month/5 Hours During Securities Trading - I provide financial planning and consulting services through Integrity Investment Advisrors, an independent investment advisor firm. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 7/17/2018 - No Business Name - Investment Related - Home Based, and COLUMBIA MO 65203, 65203, 65202 & 65202 - Real Estate Rental - Started 10/01/2006 - 10 Hours Per Month/0 Hours During Securities Trading - RENTAL PROPERTIES OWNED PERSONALLY. 5. 7/17/2018 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 01/01/2009 - 1 Hour Per Month During Securities Trading - Notary in the state of MO. 6. 7/26/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 10/01/2014 - 10 Hours Per Month/3 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-10-07
• S63 Uniform Securities Agent State Law Examination
  2003-08-22