Kathleen Anne De Pasion

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

• 10/2012 → 06/2017
  J.P. Morgan Securities Llc
  Mt. Prospect, IL
• 06/2017 → 01/2025
  Wayne Hummer Investments
  Arlington Heights, IL
• 01/2025 → Present
  Lpl Financial Llc
  Park Ridge, IL

Previous Registrations

• 2017-06-30 → 2025-01-23
  Wintrust Investments Llc
  Arlington Heights, IL
  Chicago, IL
  Park Ridge, IL
  Chicago, IL
• 2012-10-01 → 2017-07-12
  J.P. Morgan Securities Llc
  Prospect Heights, IL
• 2011-05-13 → 2012-10-01
  Chase Investment Services Corp.
  Mt. Prospect, IL

Other Businesses

1- 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 09/04/2024- 160 hours per month/ during trading 2- 01/2025- Wintrust Wealth Management- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 09/04/2024- 160 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2011-05-11

Other Names

• Kathleen Anne Marcotte