Joseph Paul Preddy

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

• 06/2002 → Present
  Community Financial Services Group/Div.oFcommunity National Bank
  Barre, VT
• 09/2013 → 09/2020
  Cetera Advisor Networks Llc
  El Segundo, CA
• 09/2020 → Present
  Lpl Financial Llc
  Barre, VT

Previous Registrations

• 2013-09-03 → 2020-09-21
  Cetera Wealth Services, Llc
  Worcester, MA
  Barre, VT
  Barre, VT
  Barton, VT
  Enosberg Falls, VT
  Troy, VT
  Island Pond, VT
  Lyndonville, VT
  Derby, VT
  Derby Line, VT
  Montpelier, VT
  Morrisville, VT
  Newport, VT
  St Johnsbury, VT
• 2002-07-08 → 2013-09-03
  Tower Square Securities, Inc.
  Barre, VT
  Barre, VT
• 2000-08-01 → 2002-06-04
  Citigroup Global Markets Inc.
  San Diego, CA

Other Businesses

1. 9/18/2020 - CFSG Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/20/2020 - 40 Hours Per Month/2 Hours During Securities Trading - Time Spent 25%. 2. 11/4/2021 - Community National Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Trust Officer and President - Started 01/01/2021 - 160 Hours Per Month/100 Hours During Securities Trading - Community Financial Services Group (a division of Community National Bank).

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-04-05
• S63 Uniform Securities Agent State Law Examination
  1995-03-22

Designations

• Certified Financial Planner

Other Names

• Joseph Preddy