Derek Paul Sabine

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

• 07/2006 → 01/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Stamford, CT
• 09/2009 → 01/2017
  Bank Of America, N.A.
  Stamford, CT
• 01/2017 → Present
  Lpl Financial, Llc
  Stamford, CT

Previous Registrations

• 2007-02-06 → 2017-01-23
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Stamford, CT

Other Businesses

1. 5/8/2017 - Newpointe Wealth - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start 05/08/2017 - 10 Hours Per Month During Securities Trading - LTC, Term Insurance, Fixed Annuity. 2. 5/8/2018 - Newpointe Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 05/08/2017 - 60 Hours Per Month/8 Hours During Securities Trading. 3. 9/16/2018 - No Business Name - Not Investment Related - Home Based/All Sales Online - business owner - Start Date: 08/27/2018 - 10 Hours Per Month/0 Hours During Securities Trading - Do photography and offer it for sale in the form of art.

Exams

• S66 Uniform Combined State Law Examination
  2007-02-05