Derek Adrian Shifflett

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

• 01/2011 → 01/2019
  Bb&T Bank
  Charlottesville, VA
• 01/2011 → 02/2021
  Bbtis
  Charlotte, NC
• 01/2018 → 02/2021
  Bb&T Securities, Llc
  Richmond, VA
• 01/2019 → 02/2021
  Bb&T
  Charlottesville, VA
• 02/2021 → 02/2021
  Truist Investment Services, Inc.
  Charlottesville, VA
• 02/2021 → 02/2021
  Truist Advisory Services, Inc.
  Atlanta, GA
• 03/2021 → Present
  Lpl Financial Llc
  Stanardsville, VA

Previous Registrations

• 2021-02-17 → 2021-03-22
  Truist Advisory Services, Inc.
  Atlanta, GA
• 2018-01-02 → 2021-02-17
  Bb&T Securities, Llc
  Charlotte, NC
  Charlottesville, VA
  Richmond, VA
• 2011-01-12 → 2018-01-02
  Bb&T Investment Services, Inc.
  Charlotte, NC
  Charlottesville, VA
• 2006-03-01 → 2010-12-22
  Cuna Brokerage Services, Inc.
  Ruckersville, VA
  Charlottesville, VA
  Charlottesville, VA

Other Businesses

1) 03/16/2021 - Woods & Waters Financial Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2021 2) 03/16/2021 - MSM LAND TRUST LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Stanardsville, VA - Start:09/2000 3) 03/16/2021 - Notary - State of VA - Start: 03/2021 4) 8/9/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/10/2021 - 160 Hours Per Month During Securities Trading - Provide insurance solutions for our clients where they have a need. 5) 12/11/2023 - 74 LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 06/01/2023 - 2 Hours Per Month/ 0 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-02-28
• S63 Uniform Securities Agent State Law Examination
  2004-02-10

Other Names

• D Adrian Shifflett
• Derek Adrion Shifflett
• Derek Shifflett
• Derek A Shifflett