Brooks Dodson Crissey

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 → 11/2016
  Wells Fargo Advisors, Llc
  Corte Madera, CA
• 11/2016 → 10/2018
  Wells Fargo Clearing Services, Llc
  Corte Madera, CA
• 10/2018 → 03/2020
  Ameriprise Financial Services Inc
  Santa Rosa, CA
• 03/2020 → 09/2024
  Ameriprise Financial Services, Llc
  Santa Rosa, CA
• 09/2024 → Present
  Lpl Financial
  Santa Rosa, CA

Previous Registrations

• 2018-10-12 → 2024-10-08
  Ameriprise Financial Services, Llc
  Windsor, CA
  Santa Rosa, CA
  Rohnert Park, CA
• 2012-10-25 → 2018-10-17
  Wells Fargo Clearing Services, Llc
  Novato, CA
  Corte Madera, CA
  Novato, CA
• 2009-06-01 → 2012-11-06
  Morgan Stanley
  San Francisco, CA
• 2008-01-29 → 2009-06-01
  Citigroup Global Markets Inc.
  San Francisco, CA

Other Businesses

1- 08/2024 / Apex Private Wealth Advisors / DBA for LPL Business (entity for LPL business) / Inv Rltd / 140 hrs mnth / 5 hrs during trading 2 - 09//2024 - Desward Peak Partners LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 10 Hours/Month - CA 95401 - OBA Start Date: 01/01/2023.

Exams

• S66 Uniform Combined State Law Examination
  2008-01-22

Designations

• Certified Financial Planner