Mark D. Howie

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

Authority	Category	Status	Date
OH	RA	APPROVED	2022-06-14

OH RA
APPROVED

Since 2022-06-14

Branch Locations

8194 Liberty Way, West Chester, OH 45069 • United States

7933 Washington Woods Dr, Dayton, OH 45459 • 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

Organization	City	State	From	To
Lpl Financial Llc	West Chester	OH	10/2013	Present

10/2013 → Present

Lpl Financial Llc

West Chester, OH

Other Businesses

1. 10/15/2013: Stevens Investment Group, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 50%.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-06-13
S63	Uniform Securities Agent State Law Examination	2021-06-24

S65 Uniform Investment Adviser Law Examination

2022-06-13
S63 Uniform Securities Agent State Law Examination

2021-06-24

Other Names

Mark Howie

View on SEC IAPD