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Fred Austin Newsom

LPl Financial LLC

Charlottesville, VA

CRD 874340

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-08-15
VA RA APPROVED 1999-03-01
  • TX RA
    APPROVED_RES
    Since 2022-08-15
  • VA RA
    APPROVED
    Since 1999-03-01

Branch Locations

355 W Rio Rd Ste 105A, Charlottesville, VA 22901-1318 • 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
OrganizationCityStateFromTo
Linsco/Private Ledger Corp. Earlysville VA 02/1999 Present
#Ia Linsco/Private Ledger Corp. Earlysville VA 02/1999 Present
  • 02/1999 → Present
    Linsco/Private Ledger Corp.
    Earlysville, VA
  • 02/1999 → Present
    #Ia Linsco/Private Ledger Corp.
    Earlysville, VA
Other Businesses

1. 09/03/2008 - NEWSOM & CO INVESTMENT SERVICES/BRANCH MANAGER, REGISTERED REP, INVESTMENT ADVISOR/CHARLOTTESVILLE, VA 22901

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-23
S63 Uniform Securities Agent State Law Examination 1994-02-04
  • S65 Uniform Investment Adviser Law Examination
    1995-10-23
  • S63 Uniform Securities Agent State Law Examination
    1994-02-04

View on SEC IAPD

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