Mark James Sudol

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

• 02/2009 → 11/2016
  National Planning Corporation
  Las Vegas, NV
• 10/2011 → 11/2016
  The Sudol Group - Wealth Management Specialists
  Las Vegas, NV
• 11/2016 → 08/2019
  Ameriprise Financial Services, Inc.
  Las Vegas, NV
• 08/2019 → Present
  Lpl Financial, Llc
  Las Vegas, NV

Previous Registrations

• 2016-11-10 → 2019-08-26
  Ameriprise Financial Services, Llc
  Las Vegas, NV
  Gardena, CA
• 2009-02-13 → 2016-11-21
  National Planning Corporation
  El Segundo, CA
  Las Vegas, NV
  Gardena, CA
• 2012-01-24 → 2014-11-04
  The Sudol Group - Wealth Management Specialists
  Las Vegas, NV
• 2005-10-31 → 2009-02-20
  Osaic Services, Inc.
  Gardena, CA
  Las Vegas, NV
• 2000-02-28 → 2005-11-08
  Householder Group, Estate & Retirement Specialists
  Las Vegas, NV
• 2005-09-02 → 2005-10-31
  Sunamerica Securities, Inc.
  Las Vegas, NV
• 2005-08-19 → 2005-09-09
  Lpl Financial Llc
  Las Vegas, NV

Other Businesses

1)09/2007 - DBA FOR LPL BUSINESS(ENTITY FOR LPL BUSINESS) - THE SUDOL GROUP WEALTH MANAGMENT SPECIALISTS - 90% - INVESTMENT RELATED - LAS VEGAS, NV 89118 2)09/2010 - REAL ESTATE RENTAL - 6135 S RAINBOW BLVD STE 100 LAS VEGAS, NV 89118 - 1% - INVESTMENT RELATED - LAS VEGAS, NV 89118 3. 11/04/2019 - The Sudol Trust - Not investment related - At reported business location(s) - Act in a Fiduciary Capacity - start date:01/01/2019 - 0 hrs/mo - 0 hrs during trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-15
• S63 Uniform Securities Agent State Law Examination
  1990-10-03

Designations

• Certified Financial Planner