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Neal Edward Doty

LPl Financial LLC

Minneapolis, MN

CRD 2175008

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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

AuthorityCategoryStatusDate
MN RA APPROVED 2026-01-02
TX RA APPROVED 2023-01-11
  • MN RA
    APPROVED
    Since 2026-01-02
  • TX RA
    APPROVED
    Since 2023-01-11

Branch Locations

11500 Nevada Ave S, Minneapolis, MN 55438-2819 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Minneapolis MN 09/2001 Present
Other Businesses

1. 1/18/2002 - BENCHMARK FINANCIAL GROUP, LLC - Investment Related - DBA for LPL Business (entity for LPL business) - MINNEAPOLIS, MN.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-10-04
  • S63 Uniform Securities Agent State Law Examination
    1991-10-04

View on SEC IAPD

Nearby Firms

HAYS FINANCIAL GROUP, LLC
THRIVENT ASSET MANAGEMENT, LLC
THRIVENT PRIVATE INVESTMENTS

Nearby Investors

Matthew William Hogan
GREGORY ALAN KLEIN
Bryon Andrew Eggan

Nearby Offices

HAYS FINANCIAL GROUP, LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · MINNEAPOLIS, MN
THRIVENT PRIVATE INVESTMENTS · MINNEAPOLIS, MN

More in Minneapolis, MN

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