Frederick Early Woltz

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

• 02/2013 → 10/2022
  Raymond James & Associates, Inc.
  Charlotte, NC
• 05/2017 → 12/2021
  Klondike 7,Llc
  Charlotte, NC
• 10/2022 → Present
  Lpl Financial Llc
  Charlotte, NC

Previous Registrations

• 2013-02-13 → 2022-10-18
  Raymond James & Associates, Inc.
  Charlotte, NC
• 2007-05-11 → 2013-02-13
  Morgan Keegan & Company, Llc
  Charlotte, NC
• 2001-12-31 → 2007-05-25
  Citigroup Global Markets Inc.
  Charlotte, NC
  Charlotte, NC

Other Businesses

1)10/07/2022 - FEW Wealth Management LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)10/07/2022 - U/A DTD 12/28/89 Irrevocable Trust FBO Frances W Fennebresque - Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee - Start Date - 12/28/1989 - 1 Hours Per Month/.5 Hours During Securities Trading - Time Spent 1% 3)10/07/2022 - Trust FBO Leslie Woltz U/A dated 1/9/2020 - Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee - Start Date - 1/9/2020 - 1 Hours Per Month/.5 Hours During Securities Trading - Time Spent 1% 4)10/07/2022 - Trust U/A dated 12/17/1999 ( took effect on W K Woltz death 6/18/2004) - Investment Related - Home Based - Act in a Fiduciary Capacity - Co-Trustee - Start Date - 6/18/2004 - .5 Hours Per Month/1 Hours During Securities Trading - Time Spent 1% 5)10/07/2022 - U/A DTD 12/28/89 Irrevocable Trust FBO Elizabeth W Woltz - Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee - Start Date - 12/28/1989 - .5 Hours Per Month/1 Hours During Securities Trading - Time Spent 1%

Exams

• S65 Uniform Investment Adviser Law Examination
  1991-08-22
• S63 Uniform Securities Agent State Law Examination
  1984-05-01

Other Names

• Fred Woltz