Derek Pontlitz

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

• 08/2010 → Present
  Lpl Financial, Llc
  New Port Richey, FL
• 08/2010 → 08/2017
  Independent Financial Partners
  New Port Richey, FL

Previous Registrations

• 2010-09-16 → 2017-08-14
  Independent Financial Partners
  New Port Richey, FL
• 2008-10-28 → 2010-08-16
  Wells Fargo Clearing Services, Llc
  Land O'LAkes, FL
  Spring Hill, FL

Other Businesses

1. 08/13/2010: No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 15% - FIXED INSURANCE SALES: LIFE, DISABILITY, LTC SOME HEALTH. 2. 8/30/2013: PONTLITZ ASSET ADVISORS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 3. 08/29/2023 - 5918-5924 Main Street LLC - Real Estate Rental - Investment Related - 5918-5924 Main Street, New Port Richey, FL 34652 - Start Date 07/01/2023 - 1 Hour Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2008-10-24

Other Names

• Derek Lee Pontlitz