Dorothea Danielle Zando

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

• 01/2016 → 04/2017
  Axa Advisors, Llc
  New York, NY
• 04/2017 → 09/2018
  Royal Alliance Associates
  Colts Neck, NJ
• 01/2021 → Present
  Lpl Financial, Llc
  Huntington, NY
• 09/2018 → 01/2021
  Regal Securities
  Sea Girt, NJ

Previous Registrations

• 2020-03-13 → 2021-03-02
  Regal Advisory Services, Inc.
  See Girt, NJ
  Glenview, IL

Other Businesses

1) 2016 - Notary - Dorothea Zando - Not Investment Related - Sea Girt, NJ 08750 2) 7/1/2021 - Zando Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/30/2021 - 5 Hours Per Month During Securities Trading. 3) 08/24/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 01/31/2021 - 3 Hours Per Month/3 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2020-03-09
• S65 Uniform Investment Adviser Law Examination
  1997-10-09
• S63 Uniform Securities Agent State Law Examination
  1984-11-02

Other Names

• Dorothea D Zando