Shubh L Sethi

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

• 12/2021 → 11/2023
  Transamerica Financial Advisors, Inc
  Greenwood Village, CO
• 10/2021 → 11/2023
  World Financial Group, Inc.
  Greenwood Village, CO
• 12/2010 → 08/2020
  Tax Swamis Llc Dba Liberty Tax Service
  Natick, MA
• 09/2020 → Present
  Tax Swamis Llc
  Fort Myers, FL
• 12/2021 → 12/2022
  Gateway Medical Corporation
  Medfield, MA
• 11/2023 → Present
  Lpl Financial Llc
  Fort Myers, FL

Previous Registrations

• 2022-05-11 → 2023-12-04
  Transamerica Financial Advisors, Llc
  Fort Myers, FL

Other Businesses

1)11/13/2023 - Priority Wealth Partner - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)11/13/2023 - Gladstone Wealth Partners - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 3)11/13/2023 - One Resources - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) 4)11/13/2023 - TAX SWAMIS, LLC - Business Owner - Managing Partner - Tax Preparation & Representation to IRS & State Tax authorities- Fort Myers, FL - Start: 12/2009

Exams

• S65 Uniform Investment Adviser Law Examination
  2022-05-10
• S63 Uniform Securities Agent State Law Examination
  2022-01-10

Other Names

• Shubparivartan Lal Sethi