Nathan Edward Sorum

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

• 01/2009 → 06/2019
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 06/2019 → Present
  Lpl Financial Llc
  Lebanon, OH

Previous Registrations

• 2002-11-29 → 2019-06-26
  Sorum Financial
  Lebanon, OH
  Lebanon, OH
  Lebanon, OH

Other Businesses

1)08/01/2002 - DBA for LPL Business (entity for LPL business) - Sorum Financial Services - 100% - INVESTMENT RELATED - LEBANON, OH 45036 2)08/2002 - Non-Variable Insurance Trails Only - SORUM FINANCIAL SERVICES - 0% - INVESTMENT RELATED - LEBANON, OH 45036 3)12/15/2014 - YAK FARM - OH YAKS - 20HRS/MO 4HRS/MO DURING TRADING - INVESTMENT RELATED - LEBANON, OH 45036 4) 1/27/2021 - SORUM INSURANCE - Investment Related - At Reported Business Location(s) - Property and Casualty - Start Date: 02/01/2021 - 10 Hours Per Month/5 Hours During Securities Trading. 5) 04/22/2022 - Sorum Insurance & Tax Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 02/01/2021 - 10 Hours Per Month/0 Hours During Securities Trading. 6) 04/22/2022 - Sorum Insurance & Tax Services - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Enrolled Agent - Start Date: 06/26/2019 - 15 Hours Per Month/0 Hours During Securities Trading - TAX PREPARATION SERVICES.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-11-20
• S63 Uniform Securities Agent State Law Examination
  1992-01-24

Designations

• Certified Financial Planner
• Chartered Financial Consultant