Alan Kenneth Modest

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
FL	RA	APPROVED	2019-08-30
MA	RA	APPROVED	2006-01-10

FL RA
APPROVED

Since 2019-08-30
MA RA
APPROVED

Since 2006-01-10

Branch Locations

Boynton Beach, FL • 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
Alan K Modest & Assoc.	Framingham	MA	10/1981	Present
Lpl Financial Llc	Boynton Beach	FL	12/1989	Present

10/1981 → Present

Alan K Modest & Assoc.

Framingham, MA
12/1989 → Present

Lpl Financial Llc

Boynton Beach, FL

Other Businesses

1. 11/14/2001 - Alan K. Modest & Associates - INV REL - Non-Variable Insurance DBA - Alan K. Modest & Associates - Fixed Insurance Lines: Life, Health, Dental, Short Term Disability, Long Term Disability and Emp Benefit Plans.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-02-07

S63 Uniform Securities Agent State Law Examination

1998-02-07

Designations

Certified Financial Planner

Other Names

Alan K Modest

View on SEC IAPD