Jeffrey Lance Prince

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 → 11/2020
  Citigroup Global Markets Inc.
  Woodland Hills, CA
• 06/2009 → 11/2020
  Morgan Stanley Smith Barney
  Los Angeles, CA
• 01/2015 → 11/2020
  Morgan Stanley Private Bank, National Association
  New York, NY
• 11/2020 → Present
  Lpl Financial Llc
  Westlake Village, CA

Previous Registrations

• 2009-06-01 → 2020-11-25
  Morgan Stanley
  Woodland Hills, CA
  Los Angeles, CA
  Los Angeles, CA
  Woodland Hills, CA
  Woodland Hills, CA
• 2006-05-31 → 2009-06-01
  Citigroup Global Markets Inc.
  Woodland Hills, CA
  Los Angeles, CA
• 1999-07-29 → 2006-06-05
  Morgan Stanley Dw Inc.
  Purchase, NY

Other Businesses

1) 11/17/2020 - Prince Private Wealth - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2020 2) 10/04/2021 - HUB Wealth LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 10/23/2020 - 160 Hours Per Month/8 Hours During Securities Trading. 3) 02/24/2022 - J.L.Prince, Inc.- Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 07/19/2021- 1 Hours Per Month/0 Hours During Securities Trading. 4) 07/19/2022 - PBC Private Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Advisor - Start Date - 07/16/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 5) 08/15/2022- BKA & Associates- Investment Related - At Reported Business Location(s) - Non-Variable Insurance- Financial Advisor- Start Date- 08/11/2022- 1 Hours Per Month/ 1 Hours During Securities Trading 6) 08/17/2023 - Orion Capital - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/13/2023 - 240 Hours Per Month/ 240 Hours During Trading 7) 02/23/2024 - Cavalier Associates - Non-Variable Insurance - Financial Advisor - Investment Related - At Reported Business Location(s) - Start Date 02/16/2024 - 1 Hour Per Month/ 1 Hour During Trading 8) 12/27/2024 - PB California - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 10/31/2024 - 1 hour per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-09-16
• S63 Uniform Securities Agent State Law Examination
  1994-02-18

Designations

• Certified Financial Planner