Douglas George Newman

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
TX	RA	APPROVED	2023-10-25
FL	RA	APPROVED	2020-11-20
VT	RA	APPROVED	1996-04-04

TX RA
APPROVED

Since 2023-10-25
FL RA
APPROVED

Since 2020-11-20
VT RA
APPROVED

Since 1996-04-04

Branch Locations

Venice, FL • United States

Shelburne, VT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Stowe	VT	03/1996	Present

03/1996 → Present

Lpl Financial Llc

Stowe, VT

Previous Registrations

1994-11-08 → 2014-12-03

Dba Pinnacle Advisors

Stowe, VT

Other Businesses

1. 12/15/2014 - PINNACLE ADVISORS - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - STARTED 01/01/1996. 2. 02/02/2026 - U-Vest Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/26/2026 - 0 hours per month/ during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-10-25
S63	Uniform Securities Agent State Law Examination	1980-03-25

S65 Uniform Investment Adviser Law Examination

1996-10-25
S63 Uniform Securities Agent State Law Examination

1980-03-25

View on SEC IAPD