Douglas Paul Caesare

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

• 08/2011 → 11/2021
  Lpl Financial Llc
  Charlotte, NC
• 11/2021 → 01/2022
  Grove Point Investments, Llc
  Rockville, MD
• 11/2021 → 01/2022
  Grove Point Advisors, Llc
  Rockville, MD
• 01/2022 → Present
  Lpl Financial Llc
  Santa Rosa, CA

Previous Registrations

• 2021-11-24 → 2022-01-10
  Grove Point Advisors, Llc
  Rockville, MD
  Santa Rosa, CA
• 2011-08-15 → 2021-12-06
  Lpl Financial Llc
  Beaverton, OR
  Santa Rosa, CA
  Healdsburg, CA
  Sonoma, CA
  San Rafael, CA
  Novato, CA
  Walnut Creek, CA
  Concord, CA
  Petaluma, CA
  Santa Rosa, CA
  Petaluma, CA
  Windsor, CA
  Sebastopol, CA
  Santa Rosa, CA
  Santa Rosa, CA
• 2011-01-19 → 2011-08-26
  Sorrento Pacific Financial, Llc
  Santa Rosa, CA
  San Diego, CA
  Guerneville, CA
  Santa Rosa, CA
  Gualala, CA
  Healdsburg, CA
  North Sebastopol, CA
  Sebastopol, CA
• 2008-03-04 → 2011-01-31
  Lpl Financial Llc
  Guerneville, CA
  Rohnert, CA
  Healdsburg, CA
  Cloverdale, CA
  Sebastopol, CA
  Santa Rosa, CA
  Sebastopol, CA
  Sebastopol, CA
  Gualala, CA
  Cloverdale, CA
  Santa Rosa, CA
  Guerneville, CA
  Healdsburg, CA
  Healdsburg, CA
  Rohnert Park, CA
  Santa Rosa, CA
• 2005-03-23 → 2008-03-04
  Ifmg Securities, Inc.
  Sebastopol, CA
  Santa Rosa, CA
  Santa Rosa, CA
  Rohnert, CA
  Cloverdale, CA
  Guerneville, CA
  Healdsburg, CA
• 2002-11-06 → 2002-12-20
  Foothill Securities, Inc.
  Santa Rosa, CA
• 2002-01-02 → 2002-06-06
  Morgan Stanley Dw Inc.
  Santa Rosa, CA

Other Businesses

1)01/07/2022 - Santa Rosa Memorial Park - Non-Profit Board Member - Non-Inv Rel - Santa Rosa, CA - Start: 01/2014 2)01/07/2022 - Independent Order of Odd Fellows - Non-Profit Board Member - Non-Inv Rel - Santa Rosa, CA - Start: 10/2018 3)01/07/2022 - Santa Rosa Mortuary/Eggen and Lance Chapel - Non-Profit Board Member - Non-Inv Rel - Santa Rosa, CA - Start: 08/2017

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-05-23
• S65 Uniform Investment Adviser Law Examination
  1994-05-23