William Alexander Shumate

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

• 01/2012 → 03/2019
  Kovack Securities, Inc.
  Ft. Lauderdale, FL
• 01/2012 → 03/2019
  Kovack Advisors, Inc.
  Ft. Lauderdale, FL
• 03/2019 → Present
  Lpl Financial, Llc
  Indian Land, SC

Previous Registrations

• 2012-01-06 → 2019-03-29
  Kovack Advisors, Inc.
  Ft. Lauderdale, FL
  Indian Land, SC
• 2008-12-18 → 2011-12-31
  Next Financial Group, Inc.
  Charlotte, NC
  Houston, TX
• 2001-01-18 → 2008-12-18
  Fsc Securities Corporation
  Charlotte, NC

Other Businesses

1) 3/29/2019 - Non-Variable Insurance - SOUTHMARK CONSULTING, LLC - Fort Mill, SC - Inv Rel 2) 3/29/2019 - Business Entity For Tax/Investment Purposes Only - SOUTHMARK FINANCIAL ADVISORS, LLC - Fort Mill, SC 3) 3/29/2019 - DBA for LPL Business (entity for LPL business) - SOUTHMARK CONSULTING, LLC - Fort Mill, SC 4) 12/28/2021 - William Shumate - Investment Related - Hilton Head Island, SC 29707 - Real Estate Rental - Owner - Started 12/07/2021 - 5 Hours Per Month/1 Hour During Securities Trading. 5) 12/28/2021 - BOULDIN PROPERTIES, LLC - Investment Related - 8070 Clems Branch Road, Indian Land, SC 29707; and Hilton Head Island, SC 29928 - Real Estate Rental - Owner - Started 12/07/2021 - 10 Hours Per Month/1 Hour During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-09-11
• S63 Uniform Securities Agent State Law Examination
  1981-06-05

Other Names

• William Alex Shumate
• Alex Shumate
• William Alexander Dysart Shumate