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Natalie Mahler

LPl Financial LLC

Castle Pines, CO

San Diego, CA

CRD 2688554

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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
CO RA APPROVED 2024-06-18
  • CO RA
    APPROVED
    Since 2024-06-18

Branch Locations

Castle Pines, CO • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Kansas City MO 04/1997 07/2020
Stifel Nicolaus & Co Inc Denver CO 07/2020 06/2024
Lpl Financial Llc Littleton CO 06/2024 Present
Previous Registrations
Other Businesses

1) 06/04/2024 - Real Estate Rental - Sole owner of rental property - Investment Related - Sarasota, FL 34238

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-19
S63 Uniform Securities Agent State Law Examination 1996-02-13
  • S65 Uniform Investment Adviser Law Examination
    1997-09-19
  • S63 Uniform Securities Agent State Law Examination
    1996-02-13
Other Names
  • Natalie M Mucha
  • Natalie Marie Mucha
  • Natalie Marie Mahler

View on SEC IAPD

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