Adam Gregory Mark Hartrum

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

• 11/2012 → 09/2016
  Capital Brokerage Corporation
  Richmond, VA
• 09/2013 → 09/2016
  Centurion Capital Group, Inc.
  Concord, CA
• 08/2014 → 09/2016
  Assetmark Brokerage, Llc
  Concord, CA
• 08/2013 → 09/2016
  Assetmark Financial, Inc.
  Encino, CA
• 09/2016 → 05/2019
  Securities America Advisors
  Torrance, CA
• 09/2016 → 05/2019
  Securities America Inc
  Torrance, CA
• 06/2019 → Present
  Lpl Financial, Llc
  Torrance, CA

Previous Registrations

• 2016-09-19 → 2019-06-17
  Securities America Advisors, Inc.
  Torrance, CA
• 2012-12-04 → 2016-10-13
  Assetmark, Inc.
  Concord, CA
• 2012-05-10 → 2012-08-31
  Pathway Strategic Advisors
  Livermore, CA
  Folsom, CA
• 2009-03-04 → 2012-05-07
  Niemann Capital Management Inc
  Scotts Valley, CA
• 2002-09-10 → 2003-03-10
  Wells Fargo Clearing Services, Llc
  La Jolla, CA

Other Businesses

1)10/2018 - DBA for LPL Business(entity for LPL Business) - South Bay Asset Strategies - 100% - INVESTMENT RELATED - TORRANCE, CA 90505

Exams

• S63 Uniform Securities Agent State Law Examination
  2010-07-02
• S65 Uniform Investment Adviser Law Examination
  2009-03-03

Other Names

• Adam Greggory Mark Hartrum