Monica Ann Callen

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

• 05/2004 → 03/2020
  Kms Financial Services, Inc
  Seattle, WA
• 03/2020 → Present
  Lpl Financial, Llc
  Seattle, WA

Previous Registrations

• 2004-07-28 → 2020-03-24
  Kms Financial Services, Inc.
  Seattle, WA
  Seattle, WA

Other Businesses

1. 3/23/2020 - Callen and Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Stated 7/2018 - 8 Hours During Securities Trading - Time Spent 95%.

Exams

• S66 Uniform Combined State Law Examination
  2004-06-21
• S63 Uniform Securities Agent State Law Examination
  2000-04-14

Other Names

• Monica Ann Aversa