John Frank Vallone

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

• 09/2009 → Present
  Lpl Financial Corporation
  Houston, TX

Previous Registrations

• 2006-09-11 → 2009-09-08
  Mutual Service Corporation
  Houston, TX
• 2004-07-20 → 2006-09-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  Houston, TX

Other Businesses

1. 3/1/2012: DBA ONLY - SOFER STEINER & ASSOCIATES, LLP 2. 09/29/2014 - NON-VARIABLE INSURANCE - TIME SPENT 30 HOURS PER MONTH - HOUSTON, TX 3) 07/13/2017-vallone financial group-Investment related- At reported Business location(s)-Business Entity For Tax/Investment Purposes Only-LPL Commisions-started 07/01/2017-1 Hour Per Month During Securities Trading. 4) 09/14/2021 - SV Financial, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 09/15/2021 - 30 Hours Per Month/1 Hour During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2004-06-22

Other Names

• John F Vallone