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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-07-10
TX RA APPROVED_RES 2025-07-10
  • CA RA
    APPROVED
    Since 2025-07-10
  • TX RA
    APPROVED_RES
    Since 2025-07-10

Branch Locations

16 N Marengo Avenue, Suite 500, Pasadena, CA 91101 • United States

634 N Santa Cruz Avenue, Los Gatos, CA 95030 • United States

San Jose, CA • 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
OrganizationCityStateFromTo
Janus Distributors Llc Denver CO 10/2007 01/2022
Janus Management Holdings Corp Denver CO 10/2007 01/2021
Janus Henderson Investors Us Llc Denver CO 01/2021 03/2023
Janus Henderson Distributors Us Llc Denver CO 01/2022 03/2023
Cadaret, Grant & Co., Inc. Los Gatos CA 03/2023 07/2025
Lpl Financial Llc Los Gatos CA 07/2025 Present
  • 10/2007 → 01/2022
    Janus Distributors Llc
    Denver, CO
  • 10/2007 → 01/2021
    Janus Management Holdings Corp
    Denver, CO
  • 01/2021 → 03/2023
    Janus Henderson Investors Us Llc
    Denver, CO
  • 01/2022 → 03/2023
    Janus Henderson Distributors Us Llc
    Denver, CO
  • 03/2023 → 07/2025
    Cadaret, Grant & Co., Inc.
    Los Gatos, CA
  • 07/2025 → Present
    Los Gatos, CA
Previous Registrations
  • 2023-09-14 → 2025-07-10
    Cadaret, Grant & Co., Inc.
    Syracuse, NY
    Los Gatos, CA
    Pasadena, CA
  • 2006-03-23 → 2007-10-16
    San Francisco, CA
  • 2005-04-01 → 2005-04-06
    Bofa Advisors, Llc
    Boston, MA
  • 2004-08-30 → 2005-03-31
    Columbia Management Advisors, Inc.
    Boston, MA
  • 2001-05-15 → 2003-08-18
    Wells Fargo Investments, Llc
    San Jose, CA
Other Businesses

1- 07/2025 - Elliott Family Wealth - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 02/05/2024 - 160 hours per month/ 80 hours during trading 2- 07/2025 - Novus Wealth Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/02/2023 - 160 hours per month/ 80 hours during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-09-13
S63 Uniform Securities Agent State Law Examination 2007-11-09
  • S65 Uniform Investment Adviser Law Examination
    2023-09-13
  • S63 Uniform Securities Agent State Law Examination
    2007-11-09
Other Names
  • Don William Elliott
  • Don William Elliott

View on SEC IAPD

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