Peter Allan Haupt

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

• 03/2006 → 10/2017
  National Planning Corporation
  Milford, CT
• 10/2017 → 02/2023
  Securities America, Inc.
  West Haven, CT
• 10/2017 → 02/2023
  Securities America Advisors
  West Haven, CT
• 02/2023 → Present
  Lpl Financial Llc
  West Haven, CT

Previous Registrations

• 2017-10-31 → 2023-02-03
  Securities America Advisors, Inc.
  West Haven, CT
• 2006-07-27 → 2017-11-08
  National Planning Corporation
  South Windsor, CT
  West Haven, CT

Other Businesses

1)01/27/2023 - Hart United - PART TIME COUNSELOR - START - 11/30/2018 - 5 % OF TIME FOR OBA - NOT INV RELATED 2) 01/19/2023 - West Shore Financial Group - Non-Variable Insurance- INV REL - 25RHS PER MO 3) 01/19/2023 - West Shore Financial Group, LLC - DBA for LPL Business (entity for LPL business)- INV REL AT REPORTED BUSINESS LOCATION(S)

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-07-13
• S63 Uniform Securities Agent State Law Examination
  2000-03-29