Braxton L Barbato

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

• 12/2016 → 04/2019
  Pit Stop
  Henderson, NV
• 04/2018 → 07/2018
  Vivint
  Las Vegas, NV
• 04/2019 → 03/2020
  Bali Hai Golf Club
  Las Vegas, NV
• 09/2019 → 04/2020
  Miracle Mile Shops
  Las Vegas, NV
• 08/2019 → 03/2020
  Umc
  Las Vegas, NV
• 03/2021 → 03/2026
  Dish
  Las Vegas, NV
• 08/2016 → 12/2016
  Student
  Henderson, NV
• 08/2017 → 03/2021
  Student
  Las Vegas, NV
• 10/2021 → 06/2023
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 01/2023 → 06/2023
  Northwestern Mutual Investment Services Llc
  Las Vegas, NV
• 11/2024 → Present
  Lpl Financial
  Henderson, NV

Other Businesses

1.09/03/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Barbato Investments LLC; Investment Related; at Reported Business Location(s); Start Date 08/28/2025; 80hrs/mth; 60hrs during trading 2.02/18/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Swift Financial Management; Investment Related; at Reported Business Location(s); Start Date 05/08/2024; 64hrs/mth; 60hrs during trading 3.08/03/2026; Barbato Investments LLC; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 07/17/2026; 10hrs/mth; 10hrs during trading

Exams

• S66 Uniform Combined State Law Examination
  2025-08-14

Other Names

• Braxton Barbato
• Braxton Lee Barbato