John Joseph Yetman

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

• 06/2015 → 03/2020
  Ameriprise Financial Services, Inc.
  Bethesda, MD
• 03/2020 → 07/2025
  Ameriprise Financial Services, Llc
  Bethesda, MD
• 07/2025 → Present
  Lpl Financial, Llc
  Tysons, VA

Previous Registrations

• 2015-06-26 → 2025-08-07
  Ameriprise Financial Services, Llc
  Bethesda, MD
  Potomac, MD
• 2009-06-01 → 2015-07-02
  Morgan Stanley
  Bethesda, MD
• 2008-12-24 → 2009-06-01
  Morgan Stanley & Co. Llc
  Bethesda, MD
• 2004-06-21 → 2008-12-24
  Ubs Financial Services Inc.
  Washington, DC
  Washington, DC
• 1999-06-04 → 2004-06-07
  Wells Fargo Clearing Services, Llc
  Washington, DC

Other Businesses

1)05/21/2025 - The Capitol Bay Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)05/21/2025 - CEO Stories - Radio show/Public appearance/ Podcast - Non-Inv Rel - At Reported Location(s) - Start: 07/2025 - 10 Hr/Mth 3)05/21/2025 - Association for Enterprise Growth (AEG) - Business Owner - Non-Inv Rel - Gaithersburg, MD - Start: 06/2025 - 10 Hr/Mth

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-08-15
• S63 Uniform Securities Agent State Law Examination
  1982-05-20