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Earl Todd Marquardt

LPl Financial LLC

Waunakee, WI

CRD 2649551

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-09-19
WI RA APPROVED 2009-02-09
  • TX RA
    APPROVED_RES
    Since 2013-09-19
  • WI RA
    APPROVED
    Since 2009-02-09

Branch Locations

Waunakee, WI • 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
OrganizationCityStateFromTo
Lpl Financial Llc Clarendon Hills IL 01/2003 Present
Previous Registrations
Other Businesses

1. 04/21/2011 - DBA ONLY, MARQUARDT WEALTH MANAGEMENT, LLC.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-08-16
S63 Uniform Securities Agent State Law Examination 1996-01-09
  • S65 Uniform Investment Adviser Law Examination
    1996-08-16
  • S63 Uniform Securities Agent State Law Examination
    1996-01-09
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant
Other Names
  • Earl T Marguardt

View on SEC IAPD

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