Walter Fred Munoz

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

• 05/2010 → Present
  Lpl Financial Llc
  South Amboy, NJ
• 11/2011 → 06/2020
  Private Advisor Group, Llc
  Morristown, NJ

Previous Registrations

• 2011-11-07 → 2020-05-20
  Private Advisor Group, Llc
  Morristown, NJ
• 2009-11-17 → 2010-04-26
  Td Wealth Management Services Inc.
  Hackensack, NJ
  Ramsey, NJ
  Mahwah, NJ
• 2008-04-29 → 2009-11-17
  Cetera Investment Services Llc
  Ramsey, NJ
• 1998-06-03 → 2003-03-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ

Other Businesses

1. 12/9/2019 - W. Fred Munoz Independent Sales Producer - Investment Related - clients home here in NJ, mostly Morris county, also CVS stores sign people up - Non-Variable Insurance - Started 11/01/2019 - 15 Hours Per Month/0 Hours During Securities Trading - Sales selling Medicare benefits. 2. 12/12/2023 - w fred munoz investment services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/01/2020 - 5 Hours Per Month/ 0 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-10-29
• S63 Uniform Securities Agent State Law Examination
  1996-01-31

Other Names

• Fred Munoz