Brandy Shay Goodnow

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MO	RA	APPROVED	2022-01-28
CO	RA	APPROVED	2017-10-18

MO RA
APPROVED

Since 2022-01-28
CO RA
APPROVED

Since 2017-10-18

Branch Locations

Elbert, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Voya Financial	Castle Rock	CO	09/2014	06/2017
Voya Financial Partners, Llc	Castle Rock	CO	02/2015	06/2017
Lpl Financial Llc	Denver	CO	06/2017	Present

09/2014 → 06/2017

Voya Financial

Castle Rock, CO
02/2015 → 06/2017

Voya Financial Partners, Llc

Castle Rock, CO
06/2017 → Present

Lpl Financial Llc

Denver, CO

Other Businesses

1. 12/18/2018 - PWM Planning - DBA: PWM Retirement Plan Solutions - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/26/2018 - 40 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-10-17
S63	Uniform Securities Agent State Law Examination	2003-12-17

S65 Uniform Investment Adviser Law Examination

2017-10-17
S63 Uniform Securities Agent State Law Examination

2003-12-17

Other Names

Brandy Shay Quinonez
Brandy Shay Goodnow
Brandy Shay Mowery
Brandy Shay Quinonez

View on SEC IAPD