Charles Whitman Cato

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

• 07/1997 → 09/2020
  Securities Service Network, Inc.
  Nashville, TN
• 07/1997 → Present
  Vista Asset Management
  Nasville, TN
• 04/2003 → 09/2020
  Ssn Advisory, Inc.
  Nashville, TN
• 09/2020 → 03/2024
  Securities America, Inc.
  Brentwood, TN
• 09/2020 → 03/2024
  Securities America Advisors, Inc.
  Brentwood, TN
• 03/2024 → Present
  Lpl Financial, Llc
  Brentwood, TN

Previous Registrations

• 2020-09-18 → 2024-03-27
  Securities America Advisors, Inc.
  Brentwood, TN
• 2004-01-23 → 2020-09-18
  Ssn Advisory, Inc.
  Brentwood, TN

Other Businesses

1- 03/2024 / Vista Asset Management / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 03/2024 / Notary / Notary / Not Investment Related / Start date: 03/25/2024

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-04-10
• S63 Uniform Securities Agent State Law Examination
  1995-03-31