Phillip Lawrence Dimond

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

• 03/2006 → 10/2017
  National Planning Corporation
  Hamden, CT
• 02/2023 → Present
  Lpl Financial
  S Windsor, CT
• 10/2017 → 02/2023
  Securities America
  S Windsor, CT
• 10/2017 → 02/2023
  Securities America
  S Windsor, CT

Previous Registrations

• 2017-10-27 → 2023-02-03
  Securities America Advisors, Inc.
  South Windsor, CT
• 2006-03-31 → 2017-11-01
  National Planning Corporation
  Cheshire, CT
  South Windsor, CT
• 2005-05-17 → 2006-04-03
  Osaic Fs, Inc.
  Hamden, CT
  Hamden, CT

Other Businesses

1-02/2023 / Dimond Financial Services / DBA for LPL Business (entity for LPL business) / Investment Related / S Windsor, CT

Exams

• S66 Uniform Combined State Law Examination
  2005-03-29
• S63 Uniform Securities Agent State Law Examination
  1987-02-25

Other Names

• Phillip L Dimond