Ronald Thomas Davies

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 → 08/2023
  Kestra Investment Services, Llc
  Scottsdale, AZ
• 07/2016 → 08/2023
  Kestra Advisory Services, Llc
  Scottsdale, AZ
• 08/2023 → Present
  Lpl Financial Llc
  Scottsdale, AZ

Previous Registrations

• 2016-08-11 → 2023-08-14
  Kestra Advisory Services, Llc
  Scottsdale, AZ
  Austin, TX
  Scottsdale, AZ
• 2009-06-16 → 2016-07-21
  Sii Investments, Inc.
  Scottsdale, AZ
  Scottsdale, AZ
  Chandler, AZ
  Phoenix, AZ
  San Diego, CA

Other Businesses

1) 08/10/2023 - RTD FINANCIAL LLC - Business Entity For Tax/Investment Purposes Only - AZ 85254 - Non investment related - Start date: 08/01/2023. 2) 08/10/2023 - WATERMARK WEALTH STRATEGIES - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 1 Hour per month. 3) 08/10/2023 - RONALD DAVIES (AGENT) - Non-Variable Insurance - Selling: LTC, Whole Universal and Term - AZ 85254 - Investment related - 1 Hour per month - Start date: 08/01/2023. 4) 08/10/2023 - WATERMARK WEALTH PLANNING - Estate Planning services - AZ - Noninvestment related - 1 Hour per month - Start date: 08/01/2023 5) 08/14/2023 - WATERMARK WEALTH STRATEGIES - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/01/2023 - 1 Hour Per Month/ 0 Hours During Trading - Time Spent 2%

Exams

• S66 Uniform Combined State Law Examination
  2009-09-24