Mark A H Davis

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

• 05/2004 → Present
  Lpl Financial Llc
  Richmond, VA

Previous Registrations

• 2005-01-03 → 2006-03-23
  Welsh & Welsh Inc
  Glen Allen, VA

Other Businesses

1. 5/28/2004: No Business Name - Investment Related - At Reported Business Location(s) 0 Non-Variable Insurance - SELLING HEALTH, LONG TERM CARE, DISABILITY AND FIXED LIFE INSURANCE. 2. 5/22/2009: No Business Name - Investment Related - Other-Author - Not Investment Related - 1% Time Spent - Written a book about the basics of investing and would some day like to find a publisher or agent. Just a manuscript right now. 3. 3/3/2011: MMDAVIS LLC - Investment Related - Henrico, VA 23294 - Real Estate Rental - Time Spent 0% - Purchase of building for office by LLC with two partners, myself and wife Michelle Davis. 4. 9/12/2014: Grove RVA Partners - Investment Related - 4312 Grove Avenue, Richmond, VA 23221 - Real Estate Rental - Start 04/01/2014 - 5 Hours Per Month/0 Hours During Securities Trading - previously unnamed property purchased 5. 9/18/2014: Osprey Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/15/2014 - 160 Hours Per Month/8 Hours During Securities Trading - only securities business, no one else has interest, not insurance agency, use LPL's RIA

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-11-24
• S63 Uniform Securities Agent State Law Examination
  1992-11-18