Caroline Carrie Pezzano

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

Authority	Category	Status	Date
TX	RA	APPROVED	2014-02-19

TX RA
APPROVED

Since 2014-02-19

Branch Locations

Lakeway, TX • 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

Organization	City	State	From	To
Lpl Financial, Llc	Austin	TX	02/2012	Present

02/2012 → Present

Lpl Financial, Llc

Austin, TX

Previous Registrations

2010-08-31 → 2012-02-22

Wells Fargo Clearing Services, Llc

Nashville, TN

Other Businesses

1. 5/4/2018 - Pezzano Investment Management LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 03/28/2018 - 5 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-08-30

S66 Uniform Combined State Law Examination

2010-08-30

Other Names

Caroline Carrie Crolle
Caroline Kidd
Caroline Carrie Kidd

View on SEC IAPD