Dina F Fargalla

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

• 03/2014 → Present
  Lpl Financial, Llc
  Newport Beach, CA
• 03/2014 → 11/2018
  Pence Wealth Management
  Newport Beach, CA
• 08/2020 → Present
  Pence Capital Management
  Newport Beach, CA
• 11/2018 → Present
  Pence Wealth Management
  Newport Beach, CA

Other Businesses

1. 7/13/2018 - PENCE WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/10/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 11/02/2023 - Pence Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/01/2023 - 2 Hours Per Month/ 1 Hour During Trading 3. 08/01/2026 - Pence Capital Management, LLC - Registered Investment Advisor - Admin - Investment Related - At Reported Business Location(s) - Start Date 08/03/2020 - 20 Hours Per Month/ 20 Hour During Trading - I provide administrative support to Pence Capital Management LLC, an independent investment advisor firm. I started this business activity in 11/2023. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-08-03
• S63 Uniform Securities Agent State Law Examination
  2018-08-01

Other Names

• Dina Fawzy Fargalla
• Fargalla