Seth David Fink

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

• 06/2006 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 09/2004 → Present
  Phocus Accounting And Tax Specialists, Pllc
  Phoenix, AZ
• 06/2006 → 08/2022
  Equitable Advisors, Llc
  New York, NY
• 08/2022 → 06/2026
  Pfg Advisors
  Phoenix, AZ
• 08/2022 → 03/2023
  Securities America, Inc.
  Phoenix, AZ
• 06/2026 → Present
  Lpl Financial
  Phoenix, AZ

Previous Registrations

• 2022-08-03 → 2026-04-20
  Pfg Advisors
  Phoenix, AZ
• 2007-01-09 → 2022-08-11
  Equitable Advisors, Llc
  Scottsdale, AZ
  Phoenix, AZ
  Phoenix, AZ

Other Businesses

1. 6/2026 - Vektra Wealth, LLC - DBA for LPL Business (entity for LPL business) - INV REL - 0 Hour(s)/Month – 0 Hour(s) During Trading - At Reported business location(s) - OBA Start date: 6/26/2026 2. 6/2026 - SDF Investments, LLC - Real Estate Rental - INV REL - 0 Hour(s)/Month – 0 Hour(s) During Trading - Phoenix AZ 85022 - OBA Start date: 10/01/2014 3. 6/2026 - Phocus Accounting and Tax Spec PLLC - Tax Prep/Accounting/CPA - INV REL - 160 Hour(s)/Month – 160 Hour(s) During Trading - Phoenix AZ 85020 - OBA Start date: 09/01/2004 4. 6/2026 - Human Kindness Project DBA Phocus On the Community - Non-Profit Board Member - NOT INV REL - 5 Hour(s)/Month – 0 Hour(s) During Trading - Phoenix AZ 85020 - OBA Start date: 06/01/2020

Exams

• S66 Uniform Combined State Law Examination
  2006-12-18