Tyler J Vongsawad

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

• 03/2005 → 09/2024
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 07/2005 → 09/2024
  Northwestern Mutual Investment Services Llc
  Provo, UT
• 01/2016 → 09/2024
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 09/2024 → Present
  Lpl Financial Llc
  Pleasant Grove, UT

Previous Registrations

• 2009-05-19 → 2016-09-14
  Northwestern Mutual Investment Services, Llc
  Provo, UT
  Provo, UT

Other Businesses

1)09/16/2024 - Author /Biography / Non Inv Related / Start date 01/01/2024 2) 09/16/2024- Non-Variable Insurance / Insurance / Inv. Related / Pleasant Grove, UT / Start date 01/01/2006 - 20 Hrs per month 8hrs during Trading - 20% Time Spent 3) 09/16/2024 - Real Estate Rental / Owner / Inv. Related / UT 84097 / Start date 01/01/2024 - 1 Hrs per month - 1 % Time Spent 4) 09/16/2024 - Happier Wealth / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) - Start date:09/16/2024 160hrs/mnth 8hrs during Trading 5. 10/17/2025 - Other - Speaking Engagement - Orem, UT - Not Inv rel - Start date: 11/7/2025 - 1hrs/mnth 1hr during Trading

Exams

• S66 Uniform Combined State Law Examination
  2009-05-16
• S63 Uniform Securities Agent State Law Examination
  2005-08-02

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Tyler Jenvit Vongsawad