Christopher Michael Koppen

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

• 06/2004 → 07/2021
  Waddell & Reed, Inc.
  Raleigh, NC
• 06/2004 → 07/2021
  Various Insurance Carriers For W & R Insurance Agencies
  Raleigh, NC
• 03/2009 → 07/2021
  Susan Phares-Aldrich, Cpa
  Holly Springs, NC
• 07/2021 → Present
  Lpl Financial Llc
  Raleigh, NC

Previous Registrations

• 2004-12-09 → 2021-07-21
  Waddell & Reed
  Raleigh, NC
  Raleigh, NC
  Charlotte, NC
  Charleroi, PA
  Raleigh, NC

Other Businesses

1- 02/2006 / Susan Phares-Aldrich CPA, PLLC / Tax Prep/Accounting/CPA / Investment Related / Holly Springs, NC 27540

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-12-08
• S63 Uniform Securities Agent State Law Examination
  2004-08-26

Other Names

• Chris Koppen