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Daniel Alexis Marin

LPl Financial LLC

Pasadena, TX

CRD 5816588

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2024-06-11
  • TX RA
    APPROVED
    Since 2024-06-11

Branch Locations

322 Preston Ave, Pasadena, TX 77503 • 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
OrganizationCityStateFromTo
Wells Fargo Bank, Na Webster TX 05/2014 06/2024
Wells Fargo Clearing Services, Llc Webster TX 12/2016 06/2024
Lpl Financial Llc Sugar Land TX 06/2024 Present
Tdecu Sugar Land TX 06/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-03-14
S63 Uniform Securities Agent State Law Examination 2017-02-17
  • S65 Uniform Investment Adviser Law Examination
    2017-03-14
  • S63 Uniform Securities Agent State Law Examination
    2017-02-17
Other Names
  • Daniel A Marin

View on SEC IAPD

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