Maarten Rietveld

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
CA	RA	APPROVED	2015-10-06
MD	RA	APPROVED	2011-03-04

CA RA
APPROVED

Since 2015-10-06
MD RA
APPROVED

Since 2011-03-04

Branch Locations

Santa Monica, CA • United States

Disclosures

1 disclosure category 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Santa Monica	CA	02/2011	Present
Planvest Financial, Inc.	Santa Monica	CA	01/2018	04/2018

02/2011 → Present

Lpl Financial, Llc

Santa Monica, CA
01/2018 → 04/2018

Planvest Financial, Inc.

Santa Monica, CA

Previous Registrations

2018-01-02 → 2018-04-19

Planvest Financial, Inc.

Gaithersburg, MD

Santa Monica, CA
2008-08-01 → 2011-02-28

Nationwide Securities, Llc

Bethesda, MD
2008-01-09 → 2008-08-01

1717 Capital Management Company

Bethesda, MD

Newark, DE
2005-01-28 → 2007-11-19

Banc Of America Investment Services, Inc.

Bethesda, MD

Bethesda, MD
2000-05-26 → 2005-02-04

Truist Investment Services, Inc.

Rockville, MD

Other Businesses

1. 05/25/2015 - PINNACLE INSURANCE AND FINANCIAL SERVICES - INV REL - 6 MONTGOMERY VILLAGE AVE #510 GAITHERSBURG, MD 20879 - NON-VARIABLE INSURANCE - LIFE - START 05/01/2015 - 5 HRS/MO NOT DURING SECS TRDG HRS 2. 1/30/2020 - Perennial Financial Services, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/24/2020 - 120 Hours Per Month/6 Hours During Securities Trading. 3. 10/05/2023 - Business Owner Succession Strategies - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/23/2018 - 50 Hours Per Month/ 3 Hours During Securities Trading 4) 05/05/2025 - Perennial Legacy Insurance Solutions - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date: 04/04/2025 - 10 Hrs/Mth - 0 Hrs During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-04-24
S63	Uniform Securities Agent State Law Examination	1984-10-29

S65 Uniform Investment Adviser Law Examination

1997-04-24
S63 Uniform Securities Agent State Law Examination

1984-10-29

Other Names

Maarten Rietveld
Martin B Rietveld
Martin Rietveld
Maarten B Rietveld

View on SEC IAPD