Christine Catherine Mallul

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

• 09/2011 → 06/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 09/2011 → 06/2023
  Sigma Planning Corporation
  Ann Arbor, MI
• 06/2023 → Present
  Lpl Financial Lcc
  Highland Park, IL

Previous Registrations

• 2011-09-19 → 2023-06-01
  Spc
  Chicago, IL
  Ann Arbor, MI
  Highland Park, IL
• 2005-08-15 → 2011-09-19
  Sanctuary Securities, Inc.
  Miami, FL
  Chicago, IL
  Chicago, IL

Other Businesses

1. 07/13/2023 - CCM SERVICES INC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Owner - Start Date 11/25/1998 - Time Spent 1% 2. 07/13/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 07/01/2023 - 160 Hours Per Month/ 40Hours During Securities Trading - Time Spent 100%

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-08-10
• S63 Uniform Securities Agent State Law Examination
  1983-08-03

Other Names

• Christine Catherine Mallul
• Christine C Mallul
• Christine Catherine Lucamallul
• Christine Catherine Luca