Ledion Isufi

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
IL	RA	APPROVED	2013-03-11

IL RA
APPROVED

Since 2013-03-11

Branch Locations

2871 83Rd Street, Darien, IL 60561 • 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
Lpl Financial, Llc	Darien	IL	09/2009	Present

09/2009 → Present

Lpl Financial, Llc

Darien, IL

Other Businesses

1. 3/7/2012 - BLUE DIAMOND WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 01/10/2022 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary Stamp - Start Date: 02/01/2021 - 1 Hour Per Month/0 Hours During Securities Trading - Notary. 3. 05/12/2023 - Ledion Isufi - CAPITAS FINANCIAL MIDWEST - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 04/01/2023 - 1 Hours Per Month/1 Hours During Securities Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-03-01
S63	Uniform Securities Agent State Law Examination	2007-06-25

S65 Uniform Investment Adviser Law Examination

2013-03-01
S63 Uniform Securities Agent State Law Examination

2007-06-25

View on SEC IAPD