Craig James Freund

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

• 01/2010 → 04/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 01/2010 → 04/2023
  Spc
  Ann Arbor, MI
• 04/2023 → Present
  Lpl Financial
  Ann Arbor, MI

Previous Registrations

• 2010-01-19 → 2023-04-05
  Spc
  Lisle, IL
  Ann Arbor, MI
• 2003-06-24 → 2009-03-26
  Ameriprise Advisor Services, Inc.
  Rockford, IL
  Naperville, IL
  Princeton, IL
  Trenton, IL
  Lake City, MN
  Savanna, IL
  Elmwood Park, IL
  St. Charles, IL
  Elmwood Park, IL
• 2003-03-10 → 2003-07-10
  Choreo, Llc
  St. Charles, IL

Other Businesses

1) 04/2023 - Upstream Investment Partners - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 04/2023 - Real Estate - Real Estate Rental - Inv. Related - 7714 W. Turnberry Trail, Lakewood, IL 60014 - Co-owner - Start Date 04/01/2007 - 0hrs/month 3) 04/2023 - Akamai 5280 Tax Professionals LLC (DBA Upstream Tax Partners) - Tax Prep/Accounting/CPA - Inv. Related - Denver, CO - Investor - Start Date 01/01/2021 - 0hrs/month 4) 04/2023 - Open Ocean Charters, LLC. - Business Owner - Non-inv. Related - Port Aransas, TX - Investor - Start Date 10/01/2021 - 0hrs/month 5) 04/2023 - Open Ocean Fishing Charters - Business Entity For Tax/Investment Purposes Only - Non-inv. Related - Port Aransas, TX - Owner - Start Date 10/01/2021 - 0hrs/month 6) 04/11/2023 - Open Ocean Charters, LLC. - Not Investment Related - 309 Piper Blvd, Port Aransas, TX 78374 - Owner - Start Date 10/01/2021 - 0 Hours Per Month/ 0 Hours During Securities Trading - Time Spent 0% 7) 04/11/2023 - No Business Name - Investment Related - Little Chute, WI 54140 - Real Estate Rental - Owner - 0 Hours Per Month/ 0 Hours During Securities Trading - Time Spent 0% 8) 04/11/2023 - Terra Lumen Energy Partners, INC- Investment Related - 30 9 Piper Blvd - Business Entity for Tax/Investment Purposes Only - Start Date 10/01/2021 - 0 Hours Per Month/ 0 Hours During Securities Trading - Time Spent 0% 9) 04/11/2023 - No Business Name - Investment Related - Lakewood, IL - Real Estate Rental - Owner - Start Date 04/01/2007 - 0 Hours Per Month/ 0 Hours During Securities Trading - Time Spent 0% 10) 04/11/2023 - Upstream Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/01/2010 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 100% 11) 04/11/2023 - Open Ocean Sportfishing - Not Investment Related - Port Aransas, TX - Other - Business Owner - Start Date 10/01/2021 - 1 Hours Per Month/1 Hours During Securities Trading - Time Spent 1%

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-12-21
• S63 Uniform Securities Agent State Law Examination
  1994-04-14

Designations

• Certified Financial Planner

Other Names

• Craig James Fruend