Douglas Edward Norman

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

• 10/2000 → 11/2017
  National Planning Corporation
  Brea, CA
• 11/2017 → Present
  Lpl Financial Llc
  Brea, CA

Previous Registrations

• 2009-02-02 → 2017-11-29
  National Planning Corporation
  Brea, CA
  Brea, CA

Other Businesses

1. 11/29/2017 - No Business Name - Not Investment Related - No Location Given - Real Estate Rental - Own real estate rentals with family no specific responsibilities - Start Date 05/2003 - 8 Hours Per Month/0 Hours During Securities Trading - 5 Percentage Time Spent. 2. 11/29/2017 - Douglas Norman - Investment Related - At Reportable Business Location(s) - Non Variable Insurance - Fix Insurance - Start Date 12/1998 - 2 Hours Per Month/0 Hours During Securities Trading - 1 Percentage Time Spent. 3. 8/28/2018 - No Business Name - Investment Related - 512 E. Imperial Highway, Brea, CA 92821 - Real Estate Rental - Start Date: 11/29/2017 - 1 Hour Per Month/1 Hour During Securities Trading - Office Building Rental to Retirement Specialists, Inc. 4. 9/21/2018 - Retirement Specialists, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/29/2017 - 160 Hours Per Month/160 Hours During Securities Trading. 5. 3/30/2023 - No Business Name - Investment Related - At Reported Business Name - Notary - Start Date - 03/20/2023 - 2 Hours Per Month/1 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2008-09-11
• S65 Uniform Investment Adviser Law Examination
  1999-12-20
• S63 Uniform Securities Agent State Law Examination
  1998-12-14