Adam M Levy

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

• 07/2015 → 08/2019
  Nbc Securities, Inc.
  Bellevue, WA
• 08/2019 → Present
  Lpl Financial Llc
  Bellevue, WA

Previous Registrations

• 2015-07-24 → 2019-08-16
  Lanark Financial, Inc.
  Birmingham, AL
  Bellevue, WA
• 2012-04-11 → 2015-07-24
  Jhs Capital Advisors, Llc
  Tampa, FL
  Bellevue, WA
• 2008-08-15 → 2012-04-11
  Paulson Investment Company Llc
  Portland, OR
  Bellevue, WA
• 2006-03-27 → 2007-01-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Tucson, AZ

Other Businesses

1. 8/15/2019 - LL Equine Project LLC - Investment Related - Home Based - Other-Business Owner - Started 08/20/2018 - 1 Hours Per Month/0 Hours During Securities Trading. 2. 8/15/2019 - SOUND STRATEGIES WEALTH MANAGEMENT, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 3. 8/15/2019 - LEVY INVESTMENT GROUP, INC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 12/10/2009 - 1 Hours Per Month During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2006-03-24