Gilles Nelson Paradis

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
ME	RA	APPROVED	2018-02-14

ME RA
APPROVED

Since 2018-02-14

Branch Locations

Scarborough, ME • 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

Organization	City	State	From	To
Sii Investments, Inc.	Old Orchard Beach	ME	05/2000	02/2018
Lpl Financial Llc	Scarborough	ME	02/2018	Present

05/2000 → 02/2018

Sii Investments, Inc.

Old Orchard Beach, ME
02/2018 → Present

Lpl Financial Llc

Scarborough, ME

Previous Registrations

2004-11-22 → 2018-02-15

Sii Investments, Inc.

Scarborough, ME

Scarborough, ME

Appleton, WI

Other Businesses

1. 02/14/2018 - PARADIS FINANCIAL SERVICES - Investment Related - Insurance Agency - LICENSED INSURANCE AGENT. 2. 04/16/2019 - PARADIS FINANCIAL SERVICES - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:02/26/2018 - 12- hrs/mo - 8 hrs during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-22
S63	Uniform Securities Agent State Law Examination	1997-08-19

S65 Uniform Investment Adviser Law Examination

1999-06-22
S63 Uniform Securities Agent State Law Examination

1997-08-19

Other Names

Gilles N Paradis

View on SEC IAPD