Joseph Anthony Gaudio

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

• 09/2006 → Present
  Lpl Financial, Llc
  Vancouver, WA

Previous Registrations

• 2005-06-01 → 2006-09-08
  Equitable Advisors, Llc
  Camas, WA
  Camas, WA
• 2002-04-02 → 2005-06-01
  Mony Securities Corporation
  Camas, WA

Other Businesses

1. 09/06/2006 - DBA ONLY - JAG FINANCIAL - VANCOUVER, WA. 2. 05/14/2014 - CRUMP - NON-VARIABLE INSURANCE - CRUMP/BYSIS - FIXED LIFE INSURANCE THROUGH THIS BROKERAGE HOUSE. IT WILL BE MOSTLY TERM LIFE CASES. - TIME SPENT 1% - VANCOUVER, WA 3. 11/16/2020 - Western United Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 10/27/2020 - 1 Hour Per Month/0 Hour During Securities Trading - Fixed annuities. 4. 07/24/2024 - Other - Notary - Not Investment Related - At Reported Business Location(s) - Start Date 03/01/2024 - 1 Hour Per Month/ During Trading

Exams

• S66 Uniform Combined State Law Examination
  2002-03-25
• S63 Uniform Securities Agent State Law Examination
  1995-10-04

Other Names

• Joseph Anthony Guadio
• Joe Gaudio