Dominick Jeffrey Allen

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

• 10/2018 → 01/2025
  Wintrust Investments
  Chicago, IL
• 03/2018 → 10/2018
  Wintrust Bank
  Chicago, IL
• 12/2017 → 03/2018
  Unemployed
  Minnooka, IL
• 05/2017 → 12/2017
  W&M Rentals
  Joliet, IL
• 05/2016 → 05/2017
  Columbia Country Club
  Columbia, MO
• 08/2012 → 05/2017
  University Of Missouri
  Columbia, MO
• 01/2025 → Present
  Lpl Financial Llc
  Chicago, IL

Previous Registrations

• 2021-06-14 → 2025-01-23
  Wintrust Investments Llc
  Chicago, IL
  Chicago, IL
  Naperville, IL
  Chicago, IL

Other Businesses

1- 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 10/01/2018- 160 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2021-06-11

Designations

• Certified Financial Planner