Noah James Borwick

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

• 12/2013 → 09/2016
  Waddell & Reed, Inc
  Denver, CO
• 09/2016 → 07/2020
  Guardian Life Ins
  Greenwood Village, CO
• 10/2016 → 07/2020
  Park Avenue Securities
  Greenwood Village, CO
• 07/2020 → 10/2023
  Vectra Bank
  Denver, CO
• 07/2020 → 10/2023
  Lpl Financial Llc
  Denver, CO
• 11/2023 → Present
  Lpl Financial Llc
  Denver, CO

Previous Registrations

• 2020-07-31 → 2023-10-03
  Lpl Financial Llc
  Lone Tree, CO
  Lone Tree, CO
  Denver, CO
• 2016-10-17 → 2020-07-31
  Park Avenue Securities Llc
  Greenwood Village, CO
• 2014-09-02 → 2016-09-28
  Waddell & Reed
  Las Vegas, NV
  Denver, CO

Other Businesses

1) 11/20/2023 - BORWICK WEALTH MANAGEMENT LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 30 Hours per month. 2) 01/09/2025 - Borwick Tax Service LLC - Investment Related - Tax Prep/Accounting/CPA - At Reported Business Location(s) - Start Date:01/01/2025 - 10 Hrs/Mth - 5 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2014-08-31