Karin Diane Knoop

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

• 01/2009 → 07/2021
  Waddell & Reed, Inc
  Seal Beach, CA
• 01/2009 → 07/2021
  Various Insurance Carriers For W & R Insurance Agencies
  Lakewood, CA
• 01/2011 → 02/2017
  Agi Accounting Services, Llc
  Burbank, CA
• 02/2017 → 07/2021
  Effective Planning
  Irvine, CA
• 07/2021 → Present
  Lpl Financial Llc
  Seal Beach, CA

Previous Registrations

• 2009-07-31 → 2021-07-21
  Waddell & Reed
  Irvine, CA
  Las Vegas, NV
  Seal Beach, CA
  Seal Beach, CA
  Irvine, CA

Other Businesses

1) 08/16/2023 - Effective Planning - Investment Related - At Reportable Business Location - Tax Prep/Accounting/CPA - Start Date 11/01/2023 - 12 Hours Per Month 2 Hours During Trading 2) 08/10/2023 - WAVELENGTH INSURANCE CONSULTING, INC - Investment Related - At Reportable Business Location - Non-Variable Insurance Insurance Agent - Start Date 08/01/2023 - 3 Hours Per Month 3 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2009-07-30

Other Names

• Karin Knoop