Douglas Clay Arthur

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

• 08/2015 → 03/2020
  Ameriprise Financial Services, Inc.
  Strasburg, VA
• 03/2020 → Present
  Lpl Financial Llc
  Strasburg, VA

Previous Registrations

• 2015-08-31 → 2020-04-07
  Ameriprise Financial Services, Llc
  Strasburg, VA
  Winchester, VA
  Harrisonburg, VA
  Winchester, VA
• 2012-05-03 → 2015-08-31
  Private Advisor Group, Llc
  Strasburg, VA
  Morristown, NJ
• 2009-10-21 → 2012-05-02
  Lpl Financial Llc
  Strasburg, VA
  San Diego, CA
  Strasburg, VA
• 2008-06-01 → 2009-11-03
  Osaic Institutions, Inc.
  Strasburg, VA
• 2003-12-15 → 2008-06-01
  Bi Investments, Llc
  Strasburg, VA
  Strasburg, VA
• 2003-07-24 → 2003-12-18
  Cetera Investment Services Llc
  Strasburg, VA

Other Businesses

1) 03/13/2020 - DCA Financial Group - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 03/2020 - 160 hr/mth 2) 03/13/2020 - DCA Financial Group - Non-Variable Insurance - inv rel - at reported business location(s) - start: 03/2020 - 4 hr/mth 3) 11/20/2023 - Clay Arthur - Other - Music entertainment - Musician - Not Investment Related - Various Locations in VA - Start Date 03/30/2020 - 1 Hour Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2000-04-27