Janet Lee Simon

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

• 04/2009 → Present
  Lpl Financial Llc
  El Segundo, CA

Previous Registrations

• 2006-05-24 → 2009-05-13
  Ubs Financial Services Inc.
  Seal Beach, CA
• 2003-04-28 → 2006-05-01
  Ameriprise Financial Services, Llc
  Long Beach, CA
  Long Beach, CA

Other Businesses

1. 07/09/2019 - Gregory A Kovacevich Trust - Investment related - At reported business location(s) - Act in a Fiduciary Capacity - start date:07/05/2019 - 0 hrs/mo - 0 hrs during trading. 2. 11/10/2025 - Cavalier Associates - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 10/31/2025 - 1 hour per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2003-04-25

Other Names

• Janet Lee Kuney