William Douglas Adams

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

• 09/2015 → 11/2018
  Cetera Advisors Llc
  Denver, CO
• 11/2018 → 05/2022
  Cuna Brokerage Services
  Waverly, IA
• 11/2018 → 05/2022
  Cuna Mutual Group
  Waverly, IA
• 05/2022 → Present
  Lpl Financial Llc
  Norcross, GA

Previous Registrations

• 2018-12-20 → 2022-05-18
  Cuna Brokerage Services, Inc.
  Oakwood, GA
  Waverly, IA
  Lawrenceville, GA
  Dawsonville, GA
  Norcross, GA
  Lawrenceville, GA
  Augusta, GA
  Norcross, GA

Other Businesses

1) 05/18/2022 MEMBERS Financial Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business) 2) 05/18/2022 Press Play Productions - Mobile DJ Service- Not Investment Related - Home Based - Business Owner- Business Owner-Mobile DJ Service- Start Date - 7/2014- 16 Hours Per Month/ 3 Hours During Securities Trading 3) 05/15/2024 - Is It News? - Other - You Tube Show - Host - Not Investment Related - Online - Start Date 03/01/2024 - 4 Hours Per Month/ 0 Hours During Trading 4) 03/07/2025 - PenFed Wealth Management - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:08/01/2023 - 50 Hrs/Mth - 50 Hrs During Trading. 5) 04/07/2025 - Peach State Investment Services - Investment Related - DBA for LPL Business (entity for LPL business) - Home Based - Start Date: 01/06/2025 - 15 Hrs/Mth - 15 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2018-10-24
• S63 Uniform Securities Agent State Law Examination
  2006-06-19