John Michael Clifford

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

• 07/2012 → 11/2016
  Wells Fargo Advisors, Llc
  New York, NY
• 11/2016 → 03/2024
  Wells Fargo Clearing Services, Llc
  New York, NY
• 03/2024 → Present
  Lpl Financial Llc
  New York, NY

Previous Registrations

• 2012-07-13 → 2024-03-21
  Wells Fargo Clearing Services, Llc
  New York, NY
• 2006-05-10 → 2012-07-17
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Other Businesses

1) 03/11/2024 - Walnut Beech Advisors - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 100% Time spent. 2) 01/26/2024 - Encompass Financial Partners - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 100% Time spent. 3) 12/11/2024 - My Own Way Capital Inc. - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 05/15/2024 - 1 hour per month/ 0 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-05-09
• S63 Uniform Securities Agent State Law Examination
  1995-10-12