Dena Mao

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

• 06/2016 → 07/2025
  Hms Financial Group
  Dedham, MA
• 06/2016 → 07/2025
  Cadaret, Grant & Co., Inc.
  Dedham, MA
• 07/2025 → Present
  Lpl Financial Llc
  Dedham, MA

Previous Registrations

• 2016-06-03 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Dedham, MA
  Syracuse, NY
  Little Silver, NJ
  Syracuse, NY
• 2015-11-04 → 2016-05-23
  Citizens Securities, Inc.
  Johnston, RI
• 2014-10-06 → 2015-11-10
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Riverside, RI

Other Businesses

1. 07/2025 - Petersen Advisors - DBA for LPL Business (entity for LPL business) - Little Silver, NJ - INV REL - Start Date 04/30/2025 - 160hrs/mth | 160hrs during trading 2. 08/15/2025 - HMS Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/01/2016 - 160 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-12-16
• S63 Uniform Securities Agent State Law Examination
  2013-08-22