Dorothy Helen Whitman

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

• 07/2016 → 05/2019
  Beral-Soutas Ranch
  Mt Hamilton, CA
• 05/2019 → 09/2019
  Unemployed
  San Jose, CA
• 09/2019 → 01/2021
  Principal Life Insurance Company
  Bellingham, WA
• 09/2019 → 01/2021
  Principal Securities Inc
  Bellingham, WA
• 01/2021 → 09/2022
  Allstate Financial Services, Llc
  Northbrook, IL
• 09/2022 → 04/2024
  Securities America, Inc.
  Bellingham, WA
• 09/2022 → 04/2024
  Securities America Advisors
  Bellingham, WA
• 04/2024 → 04/2026
  Key Investment Services, Llc
  Bellingham, WA
• 04/2026 → Present
  Lpl Financial Llc
  Ferndale, WA

Previous Registrations

• 2024-04-25 → 2026-05-05
  Key Investment Services Llc
  Bellingham, WA
  Brooklyn, OH
• 2022-09-19 → 2024-05-07
  Securities America Advisors, Inc.
  Bellingham, WA
  Bellingham, WA
  Bellingham, WA
• 2021-02-10 → 2022-09-12
  Allstate Financial Advisors, Llc
  Bellingham, WA
• 2019-10-29 → 2021-01-27
  Principal Securities, Inc.
  San Jose, CA
  Bellingham, WA
• 2003-08-01 → 2013-10-03
  Ameriprise Financial Services, Llc
  San Jose, CA
  Campbell, CA
  San Jose, CA

Exams

• S66 Uniform Combined State Law Examination
  2019-10-28

Other Names

• Dorothy Helen Soutas
• Dorothy Whitman Slawinski