Sharmishtha Prasad

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

• 12/2017 → 06/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Raleigh, NC
• 12/2017 → 06/2021
  Bank Of America, N.A.
  Raleigh, NC
• 05/2011 → 12/2017
  Wells Fargo Private Bank
  Raleigh, NC
• 06/2021 → 07/2023
  Pnc Capital Markets
  Raleigh, NC
• 06/2021 → 07/2023
  Pnc Bank
  Raleigh, NC
• 06/2021 → 07/2023
  Pnc Capital Advisors Llc
  Raleigh, NC
• 08/2023 → 08/2024
  Varidx
  Durham, NC
• 09/2024 → Present
  Coastal Federal Credit Union
  Raleigh, NC
• 09/2024 → 05/2025
  Cuso Financial Services, Lp
  San Diego, CA
• 05/2025 → Present
  Lpl Financial Llc
  Raleigh, NC

Previous Registrations

• 2024-09-03 → 2025-05-15
  Cuso Financial Services, L.P.
  Raleigh, NC
• 2021-07-22 → 2023-07-20
  Pnc Capital Advisors Llc
  Raleigh, NC
• 2018-03-16 → 2021-06-15
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Raleigh, NC
• 2005-08-10 → 2011-04-05
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
  Raleigh, NC
  Raleigh, NC

Other Businesses

1. 05/15/2025- Coastal Wealth Management- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 05/16/2025- 160 Hours Per Month- 160 Hours During Trading 2. 05/15/2025-North Carolina Museum of Art- Non-Profit Board Member- INV Related- At Raleigh, NC- Start date 03/01/2022- 5 Hours Per Month 3. 05/15/2025- Community Foundation of North Carolina East- Non-Profit Board Member- INV Related- At Greenville, NC- Start date 01/01/2024- 5 Hours Per Month 4. 05/15/2025- SVDP LLC- Real Estate Rental- INV Related- Home Based- Start date 05/27/2020

Exams

• S66 Uniform Combined State Law Examination
  2018-02-28
• S63 Uniform Securities Agent State Law Examination
  2004-05-24

Other Names

• Simmi Prasad
• Sharmishtha Tamer
• Sharmishtha Prasad