Candace Marie Polk

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
TX	RA	APPROVED	2024-04-09

TX RA
APPROVED

Since 2024-04-09

Branch Locations

1042 Asher Way Ste 100, Tyler, TX 75703 • 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
Ubs Financial Services Inc	Tyler	TX	02/2014	03/2024
Lpl Financial Llc	Tyler	TX	03/2024	Present

02/2014 → 03/2024

Ubs Financial Services Inc

Tyler, TX
03/2024 → Present

Lpl Financial Llc

Tyler, TX

Previous Registrations

2016-09-08 → 2024-04-01

Ubs Financial Services Inc.

Tyler, TX

Other Businesses

1. 04/08/2024- Clifford-Lewis Private Wealth- DBA for LPL Business (entity for LPL business)- location put at reported business location (s)- 160 hrs per mnth- 40 hrs during trading- start date 3/25/2024 2. 04/08/2024- Notary- location put at reported business location (s)- start date 01/01/2013

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-09-08

S66 Uniform Combined State Law Examination

2016-09-08

Other Names

Candace Marie Hacker

View on SEC IAPD