Cassandra N. F. Dorn

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
TX	RA	APPROVED	2021-11-01
WI	RA	APPROVED	2012-04-18

TX RA
APPROVED

Since 2021-11-01
WI RA
APPROVED

Since 2012-04-18

Branch Locations

2391 Enterprise Dr, Oshkosh, WI 54904 • 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
Provident Financial Llc	Oshkosh	WI	04/2012	Present
Lpl Financial	Oshkosh	WI	04/2012	Present

04/2012 → Present

Provident Financial Llc

Oshkosh, WI
04/2012 → Present

Lpl Financial

Oshkosh, WI

Previous Registrations

2010-02-03 → 2012-04-09

Raymond James Financial Services Advisors, Inc

Oshkosh, WI
2005-06-14 → 2006-12-31

Ffn Investment Resources, Inc.

Oshkosh, WI

Other Businesses

1. 04/18/2012: DBA ONLY - PROVIDENT FINANCIAL CONSULTANTS - OSHKOSH, WI. 2. 5/3/2012: NON-VARIABLE INSURANCE - PROVIDENT FINANCIAL CONSULTANTS - NON-VARIABLE INSURANCE - TIME SPENT 5%. 3. 04/24/2014 - PROVIDENT FINANCIAL CONSULTANTS, LLC - SEMINARS - TIME SPENT 10% - OSHKOSH, WI

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-01-21

S66 Uniform Combined State Law Examination

2005-01-21

Designations

Certified Financial Planner

Other Names

Cassandra N Fletcher
Cassandra N Fletcher
Cassandra Fletcher
Cassandra Noelle Fletcher
Cassandra Noelle Fletcher Dorn
Cassandra Noelle Fletcher Dorn

View on SEC IAPD