Nolan Kauhiahiwa Sam Ku

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

• 04/2013 → 08/2018
  Securian Financial Services Inc.
  St. Paul, MN
• 04/2013 → 08/2018
  Sgc Financial Group
  San Ramon, CA
• 10/2018 → 12/2020
  Thrivent Investment Management Inc
  San Francisco, CA
• 10/2018 → 01/2019
  Thrivent Financial
  Appleton, WI
• 01/2019 → 12/2020
  Thrivent Financial
  Appleton, WI
• 12/2020 → Present
  Lpl Financial Llc
  San Mateo, CA

Previous Registrations

• 2018-10-08 → 2020-12-22
  Thrivent Investment Management Inc.
  Ashland, OR
  Scottsdale, AZ
  Pleasanton, CA
  Redwood City, CA
• 2013-04-12 → 2018-08-29
  Securian Financial Services, Inc.
  San Ramon, CA
• 2012-05-09 → 2013-03-20
  Ameriprise Financial Services, Llc
  Calabasas, CA
• 2012-01-27 → 2012-02-09
  Securian Financial Services, Inc.
  San Mateo, CA

Other Businesses

1)12/18/2020- SGC Financial & Insurance Services- DBA for LPL Business (entity for LPL business)- Inv. Related- San Mateo, CA- 100% 2) 03/23/2022 - SageCrest Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/22/2022 - 160 Hours Per Month/40 Hours During Securities Trading. 3) 05/19/2022 - McQueen and Advisor Resources - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Financial advisor - Start Date - 01/01/2022- 5 Hours Per Month/5 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2012-01-19

Other Names

• Nolan K Ku
• Nolan Kauhiahiwa Ku
• Nolan Ku