Douglas Harris Cochran

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
TX	RA	APPROVED	2006-11-02

TX RA
APPROVED

Since 2006-11-02

Branch Locations

17950 Preston Rd Ste 350, Dallas, TX 75252-5793 • 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
Lpl Financial, Llc (Formerly: Linsco Private Ledger)	Richardson	TX	11/2006	Present

11/2006 → Present

Lpl Financial, Llc (Formerly: Linsco Private Ledger)

Richardson, TX

Previous Registrations

2000-10-03 → 2006-11-15

Banc Of America Investment Services, Inc.

Dallas, TX

Dallas, TX

Other Businesses

1. 05/10/2022 - DHC Planning, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 01/01/2022 - 160 Hours Per Month/8 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-03-30
S63	Uniform Securities Agent State Law Examination	1994-08-26

S65 Uniform Investment Adviser Law Examination

2000-03-30
S63 Uniform Securities Agent State Law Examination

1994-08-26

Designations

Certified Financial Planner

Other Names

Douglas Cochran

View on SEC IAPD