George Donald Sutphen

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 09/2013 → 11/2024
  Pruco Securities, Llc
  Northbrook, IL
• 09/2013 → Present
  The Prudential Insurance Company Of America
  Northbrook, IL
• 11/2024 → Present
  Lpl Enterprise, Llc
  Rosemont, IL

Previous Registrations

• 2013-10-08 → 2024-11-14
  Pruco Securities, Llc.
  Rosemont, IL
  Northbrook, IL
  Northbrook, IL
• 2011-06-10 → 2013-09-13
  Msi Financial Services, Inc.
  Buffalo Grove, IL
  Downers Grove, IL
• 2002-01-08 → 2004-08-12
  Pruco Securities, Llc.
  Rosemont, IL

Other Businesses

REAL ESTATE RENTAL PROPERTY POSITION: Owner NATURE: Rental INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2017 ADDRESS: 130 The Village, #102, Redondo Beach CA 90277, United States DESCRIPTION: My wife and I own a condo in RB, CA. We rent it out to friends sometimes.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-06-07
• S63 Uniform Securities Agent State Law Examination
  1991-12-16

Designations

• Certified Financial Planner
• Chartered Financial Consultant