Duncan George Kelm

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

• 06/2014 → 04/2017
  Booz Allen Hamilton
  San Diego, CA
• 07/2017 → 05/2020
  Morgan Stanley Private Bank, National Association
  New York, NY
• 05/2020 → Present
  Lpl Financial, Llc
  Santa Rosa, CA

Previous Registrations

• 2017-04-28 → 2020-05-22
  Morgan Stanley
  Santa Rosa, CA

Other Businesses

1) 5/21/2020 - Tax Prep/Accounting/CPA - Arrow Point Tax Strategies - Investment Related - Santa Rosa, CA 2) 5/21/2020 - DBA for LPL Business (entity for LPL business) - Arrow Point Wealth Management - Investment Related - Start date: 05/2020 Santa Rosa, CA 3) 5/21/2010 - Mortgage/Real Estate Services - Real Estate Agent License - Investment Related - Start date: 04/2017 - 32 Shade Tree Lane, Santa Rosa, CA 4) 6/2/2020 - LYGS Inc - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 05/21/2020 - 0 Hours Per Month. 5) 7/17/2020 - Investment Related - At Reported Business Location(s) - Mortgage/Real Estate Services - Started 07/03/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Have NMLS license. Plan to only broker own mortgage to save on cost. 6) 12/7/2020 - Not Investment Related - Remotely via internet & Home Based - Other-Advertising Revenue - Start Date: 10/7/2020 - 2 Hours Per Month/0 Hours During Securities Trading - YouTube and Google advertising revenue for videos on tax planning and tax strategy. 7) 2/22/2021 - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - 02/17/2021 - 2 Hours Per Month/0 Hours During Securities Trading. 8) 3/17/2021 - Ameritas Mutual Holding Company - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Started 03/09/2021 - 1 Hours Per Month/0 Hours During Securities Trading. 9) 6/25/2021 - Arrow Point Tax Services - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner & Enrolled Agent - Start Date: 5/21/2020 - 10 Hours Per Month/0 Hours During Securities Trading. 10) 9/9/2021 - LYGS 2 Inc - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 08/31/2021 - 0 Hours Per Month - Forming an S-Corp. 11) 10/08/2021 - LYGS 3 - Investment Related - 5429 Shallows Pl E, Santa Rosa, CA 95409 - Tax Prep/Accounting/CPA - Owner - Start Date: 08/31/2021 - 3 Hours Per Month/0 Hours During Securities Trading. 12) 03/04/2022 - LYGS 4, INC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner - Start Date - 12/23/2021 - 10 Hours Per Month/10 Hours During Securities Trading. 13) 11/18/2022 - LYGS 5 LLC - Investment Related - 5429 Shallows Pl E Santa Rosa, CA 95409 - Business Entity For Tax/Investment Purposes Only - Start Date: 11/11/2022 - 1 Hour Per Month/0 Hours During Securities Trading. 14) 04/11/2023 - HKFBM LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date 01/27/2023 - 1 Hours Per Month/ 0 Hours During Securities Trading 15) 12/04/2023 - LYGS 6 LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - 5429 Shallows Pl E Santa Rosa, CA 95409 - Start Date 11/13/2023 - 1 Hour Per Month/ 0 Hours During Trading 16) 9/30/2024 - Other-Book Revenue - Not Investment Related - Online - Started 6/30/2020 - 5 Hours Per Month/0 Hours During Trading - Author for Arrow Point Tax Services. 17) 10/08/2024 - Arrow Point Acquisition - Other - Wealth Management Acquisition Website - Owner - Not Investment Related - Santa Rosa, CA/ Online - Start Date 09/27/2024 - 1 Hour Per Month/ 0 Hours During Trading 18) 05/21/2025 - Duncan Kelm and Austin Otto Development - Not Inv. Related - Santa Rosa, CA - Other - Real Estate Purchase - Start Date:05/05/2025 - 1 Hour Per Month/ 0 Hours During Trading 19) 07/09/2025 - OKGD LLC - Business Entity For Tax/Investment Purposes Only - At Reported Business Location(s) - Not Inv Rel - Start date: 06/13/2025 - 1 Hour Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2016-10-07

Other Names

• Duncan G Kelm