Nathan Sumner

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
CO	RA	APPROVED	2021-07-21
TX	RA	APPROVED_RES	2021-07-21
WY	RA	APPROVED	2021-07-21

CO RA
APPROVED

Since 2021-07-21
TX RA
APPROVED_RES

Since 2021-07-21
WY RA
APPROVED

Since 2021-07-21

Branch Locations

Aurora, CO • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Vail Resorts	Broomfield	CO	11/2012	Present
Waddell & Reed, Inc	Denver	CO	06/2014	Present
Various Insurance Carriers For W&R Insurance Agencies	Denver	CO	10/2014	Present
Sumner Enterprises Llc	Denver	CO	03/2015	Present
Denver Rotary Club Of Stapleton	Denver	CO	07/2016	06/2019
Rocky Mountain Society Of Financial Services Pros	Centennial	CO	09/2019	Present
Fpa Of Colorado/Foundation For Financial Planning	Denver	CO	08/2020	Present
Whiskey University	Columbia	TN	03/2021	Present
Lpl Financial Llc	Bennett	CO	07/2021	Present

11/2012 → Present

Vail Resorts

Broomfield, CO
06/2014 → Present

Waddell & Reed, Inc

Denver, CO
10/2014 → Present

Various Insurance Carriers For W&R Insurance Agencies

Denver, CO
03/2015 → Present

Sumner Enterprises Llc

Denver, CO
07/2016 → 06/2019

Denver Rotary Club Of Stapleton

Denver, CO
09/2019 → Present

Rocky Mountain Society Of Financial Services Pros

Centennial, CO
08/2020 → Present

Fpa Of Colorado/Foundation For Financial Planning

Denver, CO
03/2021 → Present

Whiskey University

Columbia, TN
07/2021 → Present

Lpl Financial Llc

Bennett, CO

Previous Registrations

2014-09-15 → 2021-07-21

Waddell & Reed

Las Vegas, NV

Boulder, CO

Denver, CO

Golden, CO

Greenwood Village, CO

Bennett, CO

Denver, CO

Other Businesses

11/2012-PRESENT, VAIL RESORTS, BROOMFIELD, CO, INVEST-RELATED: N, RECREATION, SKI INSTRUCTOR, 30 HRS/MO, 0 SEC. 10/2014-PRESENT, VARIOUS INSURANCE CARRIERS FOR W&R INSURANCE AGENCIES, DENVER, CO, INVEST-RELATED: Y, INSURANCE, INSURANCE AGENT. 03/2015-PRESENT; SUMNER ENTERPRISES LLC; DENVER, CO; INV-RELATED: N; LLC; 4 HRS/MONTH; 0 SEC TRADING HRS. 09/2019-PRESENT, ROCKY MOUNTAIN SOCIETY OF FINANCIAL SERVICES PROS, CENTENNIAL CO,NON INVESTMENT RELATED,BOARD MEMBER, 4 HRS/MO, 4 HRS/MO DURING TRADING 08/2020-PRESENT, FPA OF COLORADO/FOUNDATION FOR FINANCIAL PLANNING, DENVER, CO; INVESTMENT RELATED: NO; PRO BONO FINANCIAL PLANNING VOLUNTEER; NUMBER OF HOURS MONTHLY: 2, SECURITIES TRADING HOURS: 0. 03/2021-PRESENT, WHISKEY UNIVERSITY, COLUMBIA, TN; INVESTMENT RELATED: NO; INSTRUCTOR; NUMBER OF HOURS MONTHLY: 5, SECURITIES TRADING HOURS: 0.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-09-13

S66 Uniform Combined State Law Examination

2014-09-13

Designations

Certified Financial Planner

View on SEC IAPD