Douglas Findley

LPl Financial LLC

CRD 7390210

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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
IL	RA	APPROVED	2023-04-14

IL RA
APPROVED

Since 2023-04-14

Branch Locations

511 Locust Street, Marshall, IL 62441 • 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
Indiana State University	Terre Haute	IN	12/2017	05/2019
Indiana University	Bloomington	IN	05/2019	05/2021
Lpl Financial	Marshall	IL	06/2021	Present
Indiana State University	Terre Haute	IN	08/2016	08/2018

12/2017 → 05/2019

Indiana State University

Terre Haute, IN
05/2019 → 05/2021

Indiana University

Bloomington, IN
06/2021 → Present

Lpl Financial

Marshall, IL
08/2016 → 08/2018

Indiana State University

Terre Haute, IN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-04-13

S66 Uniform Combined State Law Examination

2023-04-13

View on SEC IAPD

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Nearby Investors

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Tiffani Michelle Higginbotham

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Nearby Offices

EDWARD JONES · MARSHALL, IL

STATE FARM INVESTMENT MANAGEMENT CORP. · Marshall, IL

EDWARD JONES · MARSHALL, IL

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