Garren Joseph Sepede

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-03-27
NV	RA	APPROVED	2001-05-10

TX RA
APPROVED_RES

Since 2013-03-27
NV RA
APPROVED

Since 2001-05-10

Branch Locations

8180 Rafael Rivera Way Ste 305, Las Vegas, NV 89113 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Henderson	NV	08/2000	Present

08/2000 → Present

Lpl Financial Llc

Henderson, NV

Other Businesses

(1) 4/20/2004 - DBA ONLY - GARREN J. SEPEDE & ASSOCIATES, INC. - HENDERSON, NV. (2) 4/4/2007 - DBA ONLY - STRATEGIC WEALTH MANAGEMENT GROUP, LLC - HENDERSON, NV. (3) 8/23/2012: REAL ESTATE RENTAL - R G COEUR D'ALENE, LLC - THIS LLC IS AN ENTITY THAT OWNS PARTNERSHIP UNITS OF 2 LAND DEALS; ONE IN PAHRUMP, NV AND ONE IN STEAMBOAT SPRINGS CO. BOTH PIECES OF LAND ORE OWNED AND HAVE NO DEBT SERVICE. WE USE THIS ACCOUNT TO PAY TAXES, INSURANCE, AND OTHE SMALL MISC ITEMS. - TIME SPENT 0% - PAHRUMP, NV & STEAMBOAT SPRINGS, CO.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-03-06
S63	Uniform Securities Agent State Law Examination	1985-01-05

S65 Uniform Investment Adviser Law Examination

2001-03-06
S63 Uniform Securities Agent State Law Examination

1985-01-05

View on SEC IAPD