Jose Veliz

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

• 03/2004 → Present
  Lpl Financial, Llc
  Fircrest, WA
• 10/2014 → Present
  Financial Advocates Investment Management
  Fircrest, WA

Previous Registrations

• 2014-10-15 → 2025-08-18
  Financial Advocates Investment Management
  Fircrest, WA
  Olympia, WA
  University Place, WA
• 2001-03-14 → 2004-03-15
  Morgan Stanley Dw Inc.
  Tacoma, WA

Other Businesses

(1) 11/03/2004: VELIZ FINANCIAL MANAGEMENT - INV REL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) (2) 10/22/2014: FINANCIAL ADVOCATES INVESTMENT MANAGEMENT - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR HYBRID: FINANCIAL ADVOCATES INVESTMENT MANAGEMENT - START 10/21/2014 - 80 HR/MO NONE DURING SECS TRDG HRS - INVESTMENT ADVISER REPRESENTATIVE (3) 06/30/2015: VELIZ FINACIAL MANAGEMENT - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR DBA: (HYBRID) VELIZ FINACIAL MANAGEMENT - START 10/21/2014 - 80 HR/MO ALL DURING SECS TRDG HRS. (4) 11/22/2016: Pacific Insurance Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/14/2016 - 10 Hours Per Month/1 Hour During Securities Trading. (5) 10/22/2014: Veliz Financial Management - DBA name only for Financial Advocates Investment Management (FAIM)

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-06-21
• S63 Uniform Securities Agent State Law Examination
  1994-06-17

Other Names

• Jose Iii Veliz