John A Barich

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
GA	RA	APPROVED	2006-08-23

GA RA
APPROVED

Since 2006-08-23

Branch Locations

Alpharetta, GA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Alpharetta	GA	08/2006	Present

08/2006 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Alpharetta, GA

Previous Registrations

2000-11-17 → 2006-08-16

Equitable Advisors, Llc

Alpharetta, GA

Atlanta, GA

Alpharetta, GA

Atlanta, GA

Other Businesses

1. 08/16/06 -NB FINANCIAL GROUP / USED AS AN ENTITY TO PAY OFFICE EXPENSES / 2. 08/22/06 - MAMMOTH FINANCIAL SOLUTIONS / DBA/ PORTLAND ME 3. 01/05/07 - EQUITABLE DIVORCE SOLUTIONS/ DBA/ALPHARETTA GA 4. 6/22/2018 - John A Barich Tax Management - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date: 06/01/2018 - 10 Hours Per Month/10 Hours During Securities Trading - Tax preparation of both Corporate & Individual Income Taxes.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-11-25
S63	Uniform Securities Agent State Law Examination	1992-10-02

S65 Uniform Investment Adviser Law Examination

1998-11-25
S63 Uniform Securities Agent State Law Examination

1992-10-02

Other Names

John A Barich
John Andrew Barich
John A Barich,Cfp
John A Barich Cfp

View on SEC IAPD