Patrick Donald Pepper

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	2010-12-06

OH RA
APPROVED

Since 2010-12-06

Branch Locations

The Plains, OH • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	The Plains	OH	12/2010	Present

12/2010 → Present

Lpl Financial Llc

The Plains, OH

Previous Registrations

2005-10-05 → 2010-12-07

Edward Jones

Athens, OH

St Louis, MO

Athens, OH
2005-08-18 → 2005-10-03

Morgan Stanley Dw Inc.

Cincinnati, OH

Other Businesses

(1) 11/29/2010: NO BUSINESS NAME - TAX PREP / ACCOUNTING / BOOKKEEPING - 2% OF TIME SPENT - ASSISTING PAT SMITH, CPA OF FINANCIAL ACCOUNTING & ADVISORY SERVICES (FAAS) WITH MINOR TAX REVIEW AND PREPARATION ON OUR MUTUAL CLIENTS AS INDEPENDENT CONTRACTOR (2) 12/29/2014: NO BUSINESS NAME - NOT INV REL - 207 COLUMBUS ROAD, SUITE B, ATHENS, OH 45701 - NOTARY - START 03/19/2012 - 1 HR/MO ALL DURING SECS TRDG HRS - NOTARY FOR THE STATE OF OHIO (3) 3/3/2023 - No Business Name - Investment Related - Home Based - Mortgage/Real Estate Services - Start Date - 12/07/2015 - 0 Hoyrs Per Month/0 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-08-17

S66 Uniform Combined State Law Examination

2005-08-17

View on SEC IAPD