Mark Daniel Batty

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
OH	RA	APPROVED	2026-08-27

OH RA
APPROVED

Since 2026-08-27

Branch Locations

8241 Cornell Road Ste 210, Cincinnatio, OH 45249 • United States

8241 Cornell Road Suite 210, Cincinnati, OH 45249 • 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
Ameriprise Financial Services, Inc.	Las Vegas	NV	04/2016	03/2020
Ameriprise Financial Services, Llc	Cincinnati	OH	03/2020	08/2026
Lpl Financial Llc	Cincinnati	OH	08/2026	Present

04/2016 → 03/2020

Ameriprise Financial Services, Inc.

Las Vegas, NV
03/2020 → 08/2026

Ameriprise Financial Services, Llc

Cincinnati, OH
08/2026 → Present

Lpl Financial Llc

Cincinnati, OH

Previous Registrations

2016-07-05 → 2026-08-28

Ameriprise Financial Services, Llc

Las Vegas, NV

Cincinnati, OH

West Chester, OH

Other Businesses

1. 08/2026 - Dominion Wealth Partners - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 160 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 8/27/2026

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-06-17

S66 Uniform Combined State Law Examination

2016-06-17

View on SEC IAPD