Phillip Sorum

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	2022-03-01

OH RA
APPROVED

Since 2022-03-01

Branch Locations

Lebanon, OH • 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
Joyride Tours Llc	Tuscaloosa	AL	09/2020	03/2021
Creative Glass	Mason	OH	11/2015	08/2020
Lpl Financial	Lebanon	OH	05/2021	Present

09/2020 → 03/2021

Joyride Tours Llc

Tuscaloosa, AL
11/2015 → 08/2020

Creative Glass

Mason, OH
05/2021 → Present

Lpl Financial

Lebanon, OH

Other Businesses

1)05/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - SORUM FINANCIAL SERVICES - INVESTMENT RELATED - LEBANON, OH 45036 2)06/21/2022 - Sorum Insurance and Tax Services, DBA - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - producer - Start Date - 05/17/2022 - 8 Hours Per Month/ 2 Hours During Securities Trading. 3)06/21/2022 - Sorum Insurance and Tax Services, DBA - Investment Related - At Reported Business Location(s) - Property and Casualty - Start Date - 05/17/2022 - 8 Hours Per Month/ 2 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-02-28

S66 Uniform Combined State Law Examination

2022-02-28

Designations

Certified Financial Planner

View on SEC IAPD