Daniel Carroll

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

• 05/2015 → 05/2017
  Yelp
  Chicago, IL
• 06/2017 → 07/2018
  Extended Travel
  Chicago, IL
• 08/2018 → 12/2024
  Mutual Of America Life Insurance Company
  Westchester, IL
• 08/2018 → 12/2024
  Mutual Of America Securities Llc
  Westchester, IL
• 12/2024 → Present
  Lpl Financial
  Orland Park, IL

Previous Registrations

• 2014-09-29 → 2015-01-22
  Thrivent Investment Management Inc.
  Downers Grove, IL
  Chicago, IL
• 2013-08-22 → 2014-02-19
  Wells Fargo Clearing Services, Llc
  Chicago, IL
• 2012-01-26 → 2013-05-23
  Msi Financial Services, Inc.
  Downers Grove, IL

Other Businesses

1- 10/2024 / Blackbird Plan Consultants / DBA for LPL Business (entity for LPL business) / Inv Rltd / 60 hrs mnth / 15 hrs during trading / start 12/16/2024 2- 01/21/2026 - Blackbird Plan Consultants - Non-Variable Insurance - Founder - Investment Related - At Reported Business Location(s) - Start Date 12/18/2025 - 1 hour per month/ during trading 3- 06/08/2026 - Hedberg Legacy LLC - Real Estate Rental - Markesan, WI - Investment Related - Start Date 09/01/2024 - 2 hours per month/ 0 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-01-30
• S63 Uniform Securities Agent State Law Examination
  2018-09-20

Other Names

• Dan Carroll