Daniel Alan Gieseke

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
MN	RA	APPROVED	2014-01-21

MN RA
APPROVED

Since 2014-01-21

Branch Locations

Waconia, MN • 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
Lpl Financial Llc	Edina	MN	07/2009	Present

07/2009 → Present

Lpl Financial Llc

Edina, MN

Previous Registrations

2007-08-22 → 2009-07-07

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bloomington, MN

Minneapolis, MN

Other Businesses

(1) 07/22/2009: NO BUSINESS NAME - INV REL - 2001 30TH AVE., BRADENTON, FL 34205 - REAL ESTATE RENTAL - 2% OF TIME SPENT - RENTAL PROPERTY OWNER (2) 07/22/2009: NO BUSINESS NAME - INV REL - 2010 31ST. AVE, BRADENTON, FL 34205 - REAL ESTATE RENTAL - 2% OF TIME SPENT - RENTAL PROPERTY OWNER (3) 03/06/2015: PROSPERITAS PLANNING, INC. - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - 6800 POINT DR, EDINA, MN 55435 - START 02/23/2015 - 160 HR/MO ALL DURING SECS TRDG HRS

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-08-21
S63	Uniform Securities Agent State Law Examination	1992-04-01

S66 Uniform Combined State Law Examination

2007-08-21
S63 Uniform Securities Agent State Law Examination

1992-04-01

Other Names

Daniel Alan Gieseke
Daniel Gieseke

View on SEC IAPD