William Louis Pfadt

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

• 07/2015 → 11/2017
  National Planning Corporation
  Indianapolis, IN
• 11/2017 → Present
  Lpl Financial Llc
  Indianapolis, IN

Previous Registrations

• 2015-07-21 → 2017-12-06
  National Planning Corporation
  Indianapolis, IN
  Mason, OH
  Los Angeles, CA
• 2015-04-06 → 2015-07-27
  On Investment Management Co
  Carmel, IN
  Cincinnati, OH
• 2005-04-14 → 2015-03-13
  Oneamerica Securities, Inc.
  Indianapolis, IN
  Carmel, IN
  Indianapolis, IN

Other Businesses

1. 11/21/2018 - Pfadt Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/16/2018 - 175 Hours Per Month/160 Hours During Securities Trading.

Exams

• S63 Uniform Securities Agent State Law Examination
  2004-06-28

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Bill Pfadt