Dana Wayne Morton

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

• 02/1982 → Present
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  Rohnert Park, CA
• 01/2000 → 02/2017
  The Morton Capital Group
  Rohnert Park, CA

Other Businesses

1. 8/18/2008 - REAL ESTATE RENTAL - ONE SINGLE FAMILY RESIDENCE - TIME SPENT 2%. 2. 1/12/2011 - NON-VARIABLE INSURANCE - SELL HEALTH INSURANCE TO SENIORS. MEDICAL SUPPLEMENTS PLANS, ADVANTAGE PLANS AND D PRESCRIPTION PLANS. MOST OFTEN I WILL SELL MEDICARE ADVANTAGE UPON CLIENTS REQUEST AND NEED. - 5% OF TIME SPENT - ROHNERT PARK, CA. 3. 8/31/2017 - City Centre Consultancy - DBA: City Centre Consultancy LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/01/17 - 40 Hours Per Month During Securities Trading. 4. 9/19/2019 - No Business Name - Investment Related - Rohnert Park, Ca 94928 - Real Estate Rental - Started 09/01/2019 - 0 Hours Per Month - Renting residence to Daughter. 5. 1/23/2020 - No Business Name - Investment Related - High Sierra Lodge (Hyatt), Incline Village, Nevada 89451 - Real Estate Rental - Started 01/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Timeshare 2 weeks a year. 6. 1/23/2020 - No Business Name - Investment Related - South Nevada 89109 - Real Estate Rental - Started 01/01/2020 - 2 Hour Per Month/0 Hours During Securities Trading - Time Share a total of three weeks. One week 2 bedroom and 2 weeks one bedroom. 7. 1/23/2020 - No Business Name - Investment Related - Club Wyndham, Oceanside, Ca 92054 - Real Estate Rental - Started 01/01/2020 - 1 Hours Per Month/0 Hours During Securities Trading - Time Share ever even years i.e 2020, 2022, 2024, etc. one week.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-18
• S63 Uniform Securities Agent State Law Examination
  1987-12-04

Designations

• Chartered Financial Consultant

Other Names

• Dana W Morton