Carey Steven Moy

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

• 08/2006 → Present
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  San Antonio, TX

Previous Registrations

• 2004-02-18 → 2006-08-11
  Mml Investors Services, Llc
  San Antonio, TX
  San Antonio, TX

Other Businesses

1. 11/17/2009 - OTHER - KLYPSO - I DEVELOPED A PRODUCT AND SUBMITTED A PATENT TO SECURE THE DESIGN. THE PRODUCT IS GEARED TO BE SOLD AS A PROMOTIONAL ITEM OR AS A RETAIL ITEM. I AM THE PATENT HOLDER AND SILENT PARTNER IN THE COMPANY. - 5% OF TIME. 2. 1/11/2011 - OTHER-FAMILY LIMITED PARTNERSHIP - MEPO FLP - MY FAMILY WHICH INSISTS OF MY PARENTS AND 7 BROTHERS AND SISTERS HAVE SET UP A FAMILY PARTNERSHIP FOR MY PARENTS LAND AND MINERAL RIGHTS. DUE TO MY KNOWLEDGE OF PARTNERSHIPS THEY VOTED ME IN AS THE SECRETARY AND TREASURER. - 1% OF TIME SPENT. 3. 1/24/2011 - DBA ONLY - NEPARA GROUP, INC. - SAN ANTONIO, TX. 4. 2/14/2011 - DBA ONLY - NEPARA MANAGEMENT, INC. - SAN ANTONIO, TX. 5. 2/7/2020 - JMAC Ranch LLC - Investment Related - 819 Ridge Trace, San Antonio, TX 78258 - Real Estate Rental - Start Date: 02/28/2020 - 8 Hours Per Month/0 Hours During Securities Trading - Owner of property with spouse. 6. 06/05/2024 - nePara Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/01/2024 - 40 Hours Per Month/ During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-11-26
• S63 Uniform Securities Agent State Law Examination
  1994-05-18