Frank Martin

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

• 04/2005 → 03/2023
  Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
  Chicago, IL
• 12/2009 → 03/2023
  Bank Of America,Na
  Chicago, IL
• 03/2023 → Present
  Lpl Financial
  Michigan City, IN
• 03/2023 → 01/2024
  Notre Dame Federal Credit Union
  South Bend, IN

Previous Registrations

• 2005-04-15 → 2023-03-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
  Chicago, IL
  Chicago, IL
• 2004-11-03 → 2005-04-18
  Morgan Stanley Dw Inc.
  Chicago, IL

Other Businesses

1) 2025-01-14 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Harbor View Financial - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2025-01-13 - 160hrs/mth - 160hrs/mth during trading 2) 2026-05-06 - Harbor View Financial - Non-Variable Insurance - Y - at reported business location(s) - 2026-04-24 - 2hrs/mth - 1hrs/mth during trading

Exams

• S66 Uniform Combined State Law Examination
  2004-11-02

Designations

• Certified Financial Planner