Wade Robert Shumway

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

• 09/2012 → 11/2017
  National Planning Corporation
  Santa Monica, CA
• 11/2017 → 04/2018
  Lpl Financial Llc
  Encinitas, CA
• 04/2018 → 02/2019
  Lpl Financial Llc
  San Diego, CA
• 02/2019 → 06/2019
  Unemployed
  San Diego, CA
• 06/2019 → Present
  Lucia Capital Group
  San Diego, CA
• 09/2020 → Present
  Lpl Financial, Llc
  San Diego, CA

Other Businesses

1. 09/01/2020 - UBER/ OUTSIDE, W-2 EMPLOYMENT/ INVESTMENT RELATED/ 5%/ SAN DIEGO, CA - Start date: 01/1/2016 - 20hrs/mnth 6 hrs during Trading 2. 09/01/2020 - LUCIA CAPITAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 10%/ SAN DIEGO, CA - Start date: 9/1/2020 - 160hrs/mnth 8 hrs during Trading 3. 10/13/2025 - Westland Financial Services, Inc. - Non-Variable Insurance - At reported business location(s) - Inv rel - Start date: 2hrs/mnth 0 hrs during Trading 4. 12/30/2025 - Quotient Advisor Partners - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/01/2026 - 80 hours per month/ 50 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2021-07-23

Other Names

• Wade Shumway
• Wade Robert Shumway