Peter E Jochems

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

• 12/2008 → 11/2017
  National Planning Corporation
  Windsor, CO
• 11/2017 → Present
  Lpl Financial Llc
  Windsor, CO

Previous Registrations

• 2008-12-05 → 2017-11-29
  National Planning Corporation
  Windsor, CO
  Los Angeles, CA
• 1999-01-01 → 2009-08-24
  Jochems Financial Services, Inc.
  Littleton, CO

Other Businesses

1. 11/29/2017 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other - Art/Oil Painter/Owner - Start Date 12/3/2012 - 20 Hours Per Month. 2. 12/1/2020 - Windsor Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/1/2020 - 160 Hours Per Month/1560 Hours During Securities Trading. 3. 5/18/2021 - Ellen G. Falcone Trust - Not Investment Related - 5944 BAY MEADOWS DRIVE, WINDSOR, CO 80550 - Act in a Fiduciary Capacity - Trustee - Started 05/18/2021 - 2 Hours Per Month During Securities Trading - Ellen G. Falcone is sister.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-12-21
• S63 Uniform Securities Agent State Law Examination
  1998-09-23