Larry M Newell

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

Authority	Category	Status	Date
CA	RA	APPROVED	2011-06-23

CA RA
APPROVED

Since 2011-06-23

Branch Locations

Dana Point, CA • 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

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco Private Ledger)	Dana Point	CA	01/2003	Present

01/2003 → Present

Lpl Financial, Llc (Formerly: Linsco Private Ledger)

Dana Point, CA

Previous Registrations

2001-04-20 → 2003-01-14

Ubs Financial Services Inc.

Long Beach, CA

Other Businesses

1. 8/24/2015: Newell Family Tahoe Trust - Investment Related - 33262 Sea Knoll Dr., Dana Point, CA 92629 / Rental: 525 Dale Dr., Incline Village, NV 89451 - Real Estate Rental - Started 01/01/2014 - 0 Hours Per Month.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-03-10
S63	Uniform Securities Agent State Law Examination	1995-10-06

S65 Uniform Investment Adviser Law Examination

2009-03-10
S63 Uniform Securities Agent State Law Examination

1995-10-06

View on SEC IAPD