Adam Leach

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
TX	RA	APPROVED_RES	2024-07-17
IA	RA	APPROVED	2022-07-15
MT	RA	APPROVED	2022-07-15
SD	RA	APPROVED	2022-06-03

TX RA
APPROVED_RES

Since 2024-07-17
IA RA
APPROVED

Since 2022-07-15
MT RA
APPROVED

Since 2022-07-15
SD RA
APPROVED

Since 2022-06-03

Branch Locations

125 Brown County Hwy 19 S, Aberdeen, SD 57401 • 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
Lpl Financial, Llc	Aberdeen	SD	03/2021	Present
Northern State University	Aberdeen	SD	08/2019	03/2021
Northern State University	Aberdeen	SD	08/2018	08/2019
Northern State University	Aberdeen	SD	05/2017	05/2021
Northern State University	Aberdeen	SD	08/2013	08/2017
Northern State University	Aberdeen	SD	08/2017	08/2018
Dacotah Bank	Aberdeen	SD	03/2021	03/2021

03/2021 → Present

Lpl Financial, Llc

Aberdeen, SD
08/2019 → 03/2021

Northern State University

Aberdeen, SD
08/2018 → 08/2019

Northern State University

Aberdeen, SD
05/2017 → 05/2021

Northern State University

Aberdeen, SD
08/2013 → 08/2017

Northern State University

Aberdeen, SD
08/2017 → 08/2018

Northern State University

Aberdeen, SD
03/2021 → 03/2021

Dacotah Bank

Aberdeen, SD

Other Businesses

1. 1/3/2022 - Investment Center Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/18/2023 - H3 Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 11/21/2022 - 5 Hours Per Month/0 Hours During Securities Trading 3. 01/05/2024 - Investment Center Advisors LLC - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 01/05/2024 - 1 Hr/Mo During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-04-07

S66 Uniform Combined State Law Examination

2022-04-07

View on SEC IAPD