Christopher Allen Noel

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

• 06/2016 → 03/2020
  Ameriprise Financial Services, Inc.
  Maquoketa, IA
• 03/2020 → 05/2026
  Ameriprise Financial Services, Llc
  Dubuque, IA
• 05/2026 → Present
  Lpl Financial Llc
  Dubuque, IA

Previous Registrations

• 2016-06-20 → 2026-05-28
  Ameriprise Financial Services, Llc
  Maquoketa, IA
  Dubuque, IA
  Dubuque, IA
  Asbury, IA
• 2009-10-06 → 2016-06-23
  Edward Jones
  Asbury, IA
  Dubuque, IA
  St Louis, MO

Other Businesses

1. 04/2026 - Bridgewater Advisors, Inc - DBA for LPL Business (entity for LPL business) - Inv Related - 40 Hour(s)/Month - 32 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 5/4/2026 2. 04/2026 - Bridgewater Advisors Three LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 160 Hour(s)/Month - 130 Hour(s) During Trading - Dubuque, IA, 52001 - OBA Start Date: 01/01/2025

Exams

• S66 Uniform Combined State Law Examination
  2009-10-01

Other Names

• Christopher Noel