Brian Richard Connors

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

• 12/2010 → 11/2016
  Cetera Investment Services Llc
  St. Cloud, MN
• 11/2010 → Present
  First Interstate Bank
  Great Falls, MT
• 01/2014 → 11/2016
  Cetera Investment Advisers Llc
  Great Falls, MT
• 11/2016 → Present
  Lpl Financial Llc
  Great Falls, MT

Previous Registrations

• 2014-01-21 → 2016-11-30
  Cetera Investment Advisers Llc
  Great Falls, MT
• 2010-12-09 → 2014-01-21
  Cetera Investment Services Llc
  Great Falls, MT
  Great Falls, MT
• 2009-07-16 → 2010-04-19
  U.S. Bancorp Investments, Inc.
  Malmstrom Afb, MT
  Havre, MT
  Great Falls, MT
  Butte, MT
  Helena, MT
  Hamilton, MT
  Missoula, MT
  Kalispell, MT
  Missoula, MT
  Missoula, MT
  Kalispell, MT
  Great Falls, MT
  Great Falls, MT
  Great Falls, MT
  Great Falls, MT
  Chester, MT
  Fort Benton, MT
  Shelby, MT

Other Businesses

1. 11/29/2016 - First Interstate Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 11/29/2016 - First Interstate Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Investment Specialist - Started 11/24/2010 - 160 Hours Per Month During Securities Trading - Time Spent 50%.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-07-15
• S63 Uniform Securities Agent State Law Examination
  2003-12-16