Frank Anthony Mularz Iii

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

• 06/2013 → Present
  Lpl
  Wauwatosa, WI

Previous Registrations

• 2011-09-12 → 2013-07-16
  Pnc Wealth Management Llc
  Milwaukee, WI
  Kewaskum, WI
  Germantown, WI
  Menomonee Falls, WI
  West Bend, WI
  Milwaukee, WI
  Milwaukee, WI
  Thiensville, WI
  Hartford, WI
  West Bend, WI
  Brookfield, WI
  Wauwatosa, WI
  Wauwatosa, WI
  Pewaukee, WI
  Muskego, WI
  West Allis, WI
  Milwaukee, WI
  West Allis, WI
  Lake Geneva, WI
  Greendale, WI
  West Bend, WI
  Brookfield, WI
  Brookfield, WI
  New Berlin, WI
  Waukesha, WI
  Waukesha, WI
• 2010-04-01 → 2011-09-21
  Lpl Financial Llc
  Fort Mill, SC
  New Berlin, WI
• 2007-07-18 → 2010-04-05
  U.S. Bancorp Investments, Inc.
  Muskego, WI
  Franklin, WI
  New Berlin, WI
  Greendale, WI
• 2007-03-16 → 2007-07-17
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
  Clover, SC
• 2006-04-03 → 2006-09-06
  Chase Investment Services Corp.
  Pewaukee, WI
• 2005-12-01 → 2006-03-27
  Wells Fargo Clearing Services, Llc
  Salisbury, NC
• 2005-09-23 → 2005-09-23
  M&I Financial Advisors, Inc
  Elm Grove, WI

Other Businesses

1. 07/17/2013-DBA ONLY/INVESTMENT SERVICES AT UW CREDIT UNION/100%/WAUWATOSA,WI 2. 09/20/2022 - Wealth Management at UW Credit Union - Investment elated - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/01/2022 - 160 Hours Per Month/160 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-09-22
• S63 Uniform Securities Agent State Law Examination
  1998-08-05

Other Names

• Chip Mularz
• Frank Mularz
• Frank Anthony Mularz
• Frank Mularz Iii