Clayton Bernard Ulman

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-01-11
MD	RA	APPROVED	2006-05-12

TX RA
APPROVED_RES

Since 2016-01-11
MD RA
APPROVED

Since 2006-05-12

Branch Locations

Towson, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Towson	MD	05/2006	Present

05/2006 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Towson, MD

Previous Registrations

2004-04-21 → 2006-05-17

Hornor, Townsend & Kent, Llc

Towson, MD

Towson, MD

Other Businesses

1. 04/19/07 - ULMAN FINANCIAL, LLC - DBA ONLY - JARRETTSVILLE MD 2. 08/04/2010-NON-VARIABLE INSURANCE, SALES OF DISABILITY, HEALTH (INDIVIDUAL AND GROUP), LTC, AND LIFE INSURANCE., 10%

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-10-13

S66 Uniform Combined State Law Examination

2003-10-13

View on SEC IAPD