Timothy Jon Briggs

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 → 09/2017
  Barings
  Charlotte, NC
• 09/2017 → Present
  Lpl Financial Llc
  Fort Mill, SC

Previous Registrations

• 2009-10-20 → 2015-09-29
  Advisors Asset Management, Inc.
  Charlotte, NC
• 2006-10-05 → 2009-10-14
  Ubs Financial Services Inc.
  Weehawken, NJ
  Weehawken, NJ
• 2005-02-22 → 2006-09-25
  Wells Fargo Clearing Services, Llc
  Richmond, VA
  Richmond, VA

Other Businesses

1) 2026-05-08 - Shalore Soul & Company LLC - Business Owner - N - Indian Trail NC - 2026-05-08 - 15hrs/mth - 0hrs/mth during trading

Exams

• S66 Uniform Combined State Law Examination
  2018-08-27

Other Names

• Tim Briggs