Andrew Dale Gaber

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	2024-02-20
CO	RA	APPROVED	2018-08-30

TX RA
APPROVED

Since 2024-02-20
CO RA
APPROVED

Since 2018-08-30

Branch Locations

Parker, 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
Ameriprise Financial Services, Inc.	Glendale	AZ	01/2013	08/2018
Lpl Financial	Parker	CO	08/2018	Present

01/2013 → 08/2018

Ameriprise Financial Services, Inc.

Glendale, AZ
08/2018 → Present

Lpl Financial

Parker, CO

Previous Registrations

2013-02-28 → 2018-09-04

Ameriprise Financial Services, Llc

Thornton, CO

Durango, CO

Glendale, AZ

Durango, CO

Westminster, CO

Sierra Vista, AZ
2012-12-13 → 2013-01-23

Thrivent Investment Management Inc.

Shelby Township, MI

Detroit, MI

Oakland, MI

Other Businesses

1. 03/21/2019 - PWM - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:08/31/2018 - 200 hrs/mo - 200 hrs during trading. 2. 05/14/2019 - PWM Planning - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:03/04/2019 - 40 hrs/mo - 40 hrs during trading. 3. 10/03/2019 - Long-Term Care Solutions, Inc - Investment related - At reported business location(s) - Non-Variable Insurance - start date:08/08/2019 - 5 hrs/mo - 0 hrs during trading. 4) 04/16/2025 - Gotham Capital Management - Not Investment Related -At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date:09/01/2021 - 160 Hrs/Mth - 35 Hrs During Trading. 5) 04/25/2025 - none - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:04/21/2025 - 160 Hrs/Mth - 160 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-12-11
S63	Uniform Securities Agent State Law Examination	2010-06-17

S66 Uniform Combined State Law Examination

2012-12-11
S63 Uniform Securities Agent State Law Examination

2010-06-17

Designations

Certified Financial Planner

View on SEC IAPD