Nathaniel Jamil Carlon

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

• 12/2015 → 04/2023
  Stifel Nicolaus & Co Inc
  Phoenix, AZ
• 04/2023 → Present
  Lpl Financial Llc
  Scottsdale, AZ

Previous Registrations

• 2015-12-14 → 2023-05-05
  Stifel, Nicolaus & Company, Incorporated
  Phoenix, AZ
  Scottsdale, AZ
• 2011-06-02 → 2015-12-15
  Equitable Advisors, Llc
  Irvine, CA
  Scottsdale, AZ
• 2010-01-12 → 2011-06-01
  Chase Investment Services Corp.
  Tustin, CA
  San Clemente, CA
• 2006-09-12 → 2006-10-24
  Chase Investment Services Corp.
  Tucson, AZ

Other Businesses

1) 03/27/2023 - Carlon Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 2) 06/07/2023 - BMC Strategies - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 04/25/2023 - 2 Hours Per Month/ 0 Hours During Securities Trading 3) 06/09/2023 - Pacific Southwest Financial A Capital Financial Partner - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 05/19/2023 - 40 Hours Per Month/ 0 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-12-30
• S66 Uniform Combined State Law Examination
  2006-08-30
• S63 Uniform Securities Agent State Law Examination
  2004-03-03

Other Names

• Nate J. Carlon