Katheryn Lee Gordon

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 → 11/2016
  Wells Fargo Advisors Llc
  Tryon, NC
• 11/2016 → 03/2020
  Wells Fargo Clearing Services, Llc
  Tryon, NC
• 04/2020 → Present
  Lpl Financial Llc
  Tryon, NC

Previous Registrations

• 2016-06-02 → 2020-04-07
  Wells Fargo Clearing Services, Llc
  Tryon, NC

Other Businesses

1) 04/01/20- Ashworth Financial Group - DBA for LPL Business (entity for LPL business)-Inv. Related- Tryon, NC -100% 2) 04/01/20- Notary Public - Inv. Related- Tryon, NC- start date 3/2015- 1hrs/mth

Exams

• S66 Uniform Combined State Law Examination
  2016-06-02

Other Names

• Katheryn Lee Phelps