Austin M Gardner

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NE	RA	APPROVED	2021-02-12

NE RA
APPROVED

Since 2021-02-12

Branch Locations

Omaha, NE • United States

Bellevue, NE • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Command Financial Planning, Inc	Fort Worth	TX	01/2015	02/2021
First Command Insurance Services, Inc.	Fort Worth	TX	01/2015	02/2021
First Command Advisory Services	Fort Worth	TX	12/2015	02/2021
Lpl Financial, Llc	Bellevue	NE	02/2021	Present

01/2015 → 02/2021

First Command Financial Planning, Inc

Fort Worth, TX
01/2015 → 02/2021

First Command Insurance Services, Inc.

Fort Worth, TX
12/2015 → 02/2021

First Command Advisory Services

Fort Worth, TX
02/2021 → Present

Lpl Financial, Llc

Bellevue, NE

Previous Registrations

2015-12-15 → 2021-02-08

First Command Advisory Services

Fort Worth, TX
2014-09-05 → 2015-12-15

First Command Brokerage Services, Inc.

Papillion, NE

Other Businesses

1) 02/2021 - DBA for LPL Business (entity for LPL business) - GARDNER FINANCIAL - Investment Related - 80% - Bellevue, NE 68123 2) 01/2021 - Business Owner - BADGER CUSTOM CONSTRUCTION/BADGER WOODWORK - Not Investment Related - 15% - 3713 Sheridan Road, Bellevue, NE 68123

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-09-04
S63	Uniform Securities Agent State Law Examination	2013-05-11

S65 Uniform Investment Adviser Law Examination

2014-09-04
S63 Uniform Securities Agent State Law Examination

2013-05-11

View on SEC IAPD