Sean Michael Farrell

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

• 07/1994 → Present
  Cuna Brokerage Services, Inc.
  Waverly, IA
• 07/1994 → Present
  Cuna Mutual Group
  Waverly, IA
• 05/2022 → Present
  Lpl Financial Llc
  Lowell, MA

Previous Registrations

• 2005-07-28 → 2022-05-18
  Cuna Brokerage Services, Inc.
  Lowell, MA
  Waltham, MA
  Ft Lauderdale, FL
  Danvers, MA
  West Roxbury, MA
  Dorchester, MA

Other Businesses

1) 05-18-2022-ALIGN CREDIT UNION- Investment Related- At Reported Business Location(s)- Financial Institution Duty- START DATE: 11/2006-160 Hours Per Month/160 Hours During Trading- 2) 05-18-2022-Align Wealth Management- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)- 3) 09/29/2023 - ATLANTIC FINANCIAL SERVICES - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/30/2023 - 60 Hours Per Month/ 3 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2005-07-26
• S63 Uniform Securities Agent State Law Examination
  1998-04-15