Andrew Seymour Docksey

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2018-05-21

WI RA
APPROVED

Since 2018-05-21

Branch Locations

801 Cardinal Lane, Hartland, WI 53029 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Us Army Reserve 3-334Th 1St Brigade 95Th Division (Iet)	Milwaukee	WI	08/2017	12/2019
Us Army Reserve 432Nd Civil Affairs Bn	Green Bay	WI	11/2010	08/2017
Washington County Wi Sheriffs Dept	West Bend	WI	10/2016	05/2017
First Command Financial Services, Inc.	Fort Worth	TX	06/2017	02/2018
First Command Financial Planing, Inc	Fort Worth	TX	02/2018	03/2018
First Command Advisory Services, Inc	Fort Worth	TX	02/2018	03/2018
First Command Insurance Services, Inc	Fort Worth	TX	02/2018	03/2018
Lpl Financial, Llc	Hartland	WI	05/2018	Present
Landmark Credit Union	Hartland	WI	05/2018	Present

08/2017 → 12/2019

Us Army Reserve 3-334Th 1St Brigade 95Th Division (Iet)

Milwaukee, WI
11/2010 → 08/2017

Us Army Reserve 432Nd Civil Affairs Bn

Green Bay, WI
10/2016 → 05/2017

Washington County Wi Sheriffs Dept

West Bend, WI
06/2017 → 02/2018

First Command Financial Services, Inc.

Fort Worth, TX
02/2018 → 03/2018

First Command Financial Planing, Inc

Fort Worth, TX
02/2018 → 03/2018

First Command Advisory Services, Inc

Fort Worth, TX
02/2018 → 03/2018

First Command Insurance Services, Inc

Fort Worth, TX
05/2018 → Present

Lpl Financial, Llc

Hartland, WI
05/2018 → Present

Landmark Credit Union

Hartland, WI

Previous Registrations

2018-02-15 → 2018-03-22

First Command Advisory Services

Oak Brook, IL

Fort Worth, TX

Other Businesses

1. 5/21/2018 - Landmark Investment Center - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 3/16/2021 - No Business Name - Investment Related - West Bend WI - Real Estate Rental - Started 03/01/2019 - 0 Hours Per Month - Own a house/hobby farm. 3. 04/21/2022 - Village of Mount Pleasant - Not Investment Related - At Reported Business Location(s) - 8811 Campus Drive Mount Pleasant, WI 53406 - Non-Profit Board Member - Elected Member/Board of Trustees - Start Date - 4/18/2022 - 4 Hours Per Month/ 0 Hours During Securities Trading - Village of Mount Pleasant - Member, Board of Trustees.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-01-05
S63	Uniform Securities Agent State Law Examination	2000-04-24

S66 Uniform Combined State Law Examination

2018-01-05
S63 Uniform Securities Agent State Law Examination

2000-04-24

View on SEC IAPD