Jeffrey S Gilman

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
AZ	RA	APPROVED	2021-11-22
IL	RA	APPROVED	2009-09-08

AZ RA
APPROVED

Since 2021-11-22
IL RA
APPROVED

Since 2009-09-08

Branch Locations

Buffalo Grove, IL • United States

Scottsdale, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
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	Buffalo Grove	IL	09/2009	Present

09/2009 → Present

Lpl Financial Llc

Buffalo Grove, IL

Previous Registrations

2003-08-01 → 2009-09-08

Waterstone Financial Group, Inc.

Boston, MA

Buffalo Grove, IL

Buffalo Grove, IL
2003-01-03 → 2006-08-22

Heritage Capital Management Inc

Buffalo Grove, IL

Other Businesses

1. 03/30/2010 - GILMAN INSURANCE SERVICES - NON-VARIABLE INSURANCE DBA - GILMAN INSURANCE SERVICES - SALE OF FIXED LIFE AND HEALTH COVERAGE FOR INDIVIDUALS AND BUSINESS - BUFFALO GROVE, IL 2. 05/12/2014 - JEFFREY GILMAN - INV REL - NON-VARIABLE INSURANCE - 5% TIME SPENT - INSURANCE SALES COMMISSIONS PAID TO JEFFREY GILMAN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-01-18
S63	Uniform Securities Agent State Law Examination	1991-08-07

S65 Uniform Investment Adviser Law Examination

2000-01-18
S63 Uniform Securities Agent State Law Examination

1991-08-07

View on SEC IAPD