Paul Pratto

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

• 03/2011 → Present
  Lpl Financial Llc
  Raleigh, NC

Previous Registrations

• 2009-06-01 → 2011-04-04
  Morgan Stanley
  Raleigh, NC
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Raleigh, NC
  Raleigh, NC
  Chapel Hill, NC
• 2007-03-01 → 2007-04-02
  Morgan Stanley Dw Inc.
  Raleigh, NC
• 2003-07-01 → 2007-03-01
  Wells Fargo Clearing Services, Llc
  Durham, NC
  Chapel Hill, NC
• 2001-12-31 → 2003-07-01
  Prudential Equity Group, Llc
  Durham, NC

Other Businesses

1. 02/22/2011 - PRATTO WEALTH MANAGEMENT - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 10/20/2011 - NO BUSINESS NAME - INV REL - ACT IN A FIDUCIARY CAPACITY - NOT TIME SPENT - TRUSTEE- CHAMIS A PRATTO- NEPHEW 3. 10/21/2011 - NO BUSINESS NAME - INV REL - ACT IN A FIDUCIARY CAPACITY - NOT TIME SPENT - GABRIEL P WOOD 4. 10/21/2011 - NO BUSINESS NAME - INV REL - ACT IN A FIDUCIARY CAPACITY - NOT TIME SPENT - LUCIA WOOD PRATTO 5. 10/21/2011 - NO BUSINESS NAME - INV REL - ACT IN A FIDUCIARY CAPACITY - NOT TIME SPENT - RAINA M PRATTO

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-09-06
• S63 Uniform Securities Agent State Law Examination
  1994-02-16