Theresa Anne Pohlman

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

• 05/2006 → 10/2016
  Investors Capital Corporation
  Lynnfield, MA
• 03/2007 → Present
  Diversified Capital Solutions Inc
  Melbourne, FL
• 10/2016 → 12/2019
  Cetera Advisors Llc
  Denver, CO
• 12/2019 → Present
  Lpl Financial Llc
  Melbourne, FL

Previous Registrations

• 2016-09-15 → 2019-12-11
  Cetera Advisors Llc
  Greenwood Village, CO
  Melbourne, FL
• 2009-09-18 → 2016-10-03
  Investors Capital Corp.
  Gilford, NH
  Melbourne, FL
  Lynnfield, MA
  Lynnfield, MA

Other Businesses

1)12/03/2019 - Synergy Wealth - DBA for LPL Business (entity for LPL business)- inv rel - at reported business location(s) - start: 12/2019 2)12/03/2019 - Non-Variable Insurance - inv rel - at reported business location(s) - start: 12/2019 - 10 hr/mth 3)12/03/2019 - DIVERSIFIED CAPITAL SOLUTIONS, INC - Business Entity for tax accounting purposes - inv rel - at reported business location(s) - start: 12/2019

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-09-19
• S63 Uniform Securities Agent State Law Examination
  1996-05-02