Matthew Welgat

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 → 05/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 11/2015 → 05/2023
  Sigma Planning Corporation
  Ann Arbor, MI
• 05/2023 → Present
  Lpl Financial Llc
  Lisle, IL

Previous Registrations

• 2015-11-04 → 2023-05-15
  Spc
  Lisle, IL
  Ann Arbor, MI
  Barrington, IL
  Lisle, IL
• 2010-07-14 → 2015-12-31
  Welgat Wealth Management
  Naperville, IL
• 2010-07-14 → 2012-12-31
  Welgat Wealth Management
  Naperville, IL
• 2010-07-14 → 2011-12-31
  Welgat Wealth Management
  Naperville, IL
• 2009-04-16 → 2010-03-04
  Advantage Investment Management, Llc
  Naperville, IL
• 2009-03-23 → 2010-03-01
  National Planning Corporation
  Napervile, IL
  Naperville, IL
• 2005-04-04 → 2009-03-18
  Waterstone Financial Group, Inc.
  Wheaton, IL
  Wheaton, IL
• 2008-07-30 → 2008-12-31
  Welgat Wealth Management
  Wheaton, IL
• 2003-09-12 → 2005-04-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Naperville, IL

Other Businesses

1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 07/19/2023 - SOLE PROPRIETOR - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 1/1/2017 - 5 Hours Per Month/ 8 Hours During Trading - Time Spent 5% 3. 07/19/2023 - WELGAT LAW OFFICES, LLC - Not Investment Related - At Reported Business Location(s) - Attorney/Legal Services - Licensed Attorney - Start Date 9/11/2014 - 10 Hours Per Month/ 8 Hours During Trading - Time Spent 5% 4. 07/19/2023 - MATTHEW WELGAT, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 12/19/2020 - 160 Hours Per Month/ 8 Hours During Trading - Time Spent 95% 5. 04/02/2024 - Welgat Law, LLC - Outside/W-2 Employment - Attorney - Not Investment Related - North Barrington, IL - Start Date 05/10/2001 - 8 Hours Per Month/ During Trading 6. 10/08/2024 - The Wealth Caddies - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/01/2024 - 160 Hours per Month/ During Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  2016-08-30
• S66 Uniform Combined State Law Examination
  2003-09-11

Other Names

• Matthew Welgate