Joel Anthony Pezzano

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
UT	RA	APPROVED	2016-06-29
PA	RA	APPROVED	2010-11-01
TX	RA	APPROVED_RES	2008-12-17

UT RA
APPROVED

Since 2016-06-29
PA RA
APPROVED

Since 2010-11-01
TX RA
APPROVED_RES

Since 2008-12-17

Branch Locations

Lakeway, TX • 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	Austin	TX	10/2008	Present

10/2008 → Present

Lpl Financial, Llc

Austin, TX

Previous Registrations

2008-01-01 → 2008-11-10

Wells Fargo Clearing Services, Llc

Nashville, TN
2005-01-05 → 2008-01-01

A. G. Edwards & Sons, Inc.

Nashville, TN

St. Louis, MO

Nashville, TN

Other Businesses

(1) 5/4/2018 - Pezzano Investment Managment LLC - Investment Related - Business Entity For Tax/Investment Purposes Only - Started: 03/28/2018 - 5 Hours Per Month/1 Hour During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-01-04
S63	Uniform Securities Agent State Law Examination	1992-07-14

S66 Uniform Combined State Law Examination

2005-01-04
S63 Uniform Securities Agent State Law Examination

1992-07-14

Other Names

Joe Pezzano
Joey Pezzano

View on SEC IAPD