Susan Tanner Cummings

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

• 12/2010 → Present
  Lpl Financial, Llc
  Washington, DC

Previous Registrations

• 2009-10-23 → 2010-12-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Washington, DC
  Washington, DC
  Rockville, MD
• 2007-04-13 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Washington, DC
• 2003-01-22 → 2007-05-03
  Ubs Financial Services Inc.
  Bethesda, MD
  Bethesda, MD
• 2000-11-20 → 2003-01-24
  Citigroup Global Markets Inc.
  Washington, DC

Other Businesses

1. 09/06/2012 - Platinum Circle - INV REL - Business Entity For Tax/Investment Purposes Only - For accounting purposes only; not held out to the public 2. 09/18/2012 - STC-Wealth Management - IVN REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business)

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-10-03
• S63 Uniform Securities Agent State Law Examination
  1998-12-14

Other Names

• Susan Tanner Holbrook
• Susan Anne Tanner