Eric Larson Gunness

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	2006-01-26
RI	RA	APPROVED	2006-01-25

TX RA
APPROVED_RES

Since 2006-01-26
RI RA
APPROVED

Since 2006-01-25

Branch Locations

91 Main St Ste 111, Warren, RI 02885 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Warren	RI	01/2006	Present

01/2006 → Present

Lpl Financial Llc

Warren, RI

Previous Registrations

2001-04-30 → 2006-02-01

Citigroup Global Markets Inc.

Providence, RI

Providence, RI

Other Businesses

1. 10/01/2009 - OTHER-CREATIVE WORK - I CREATE MUSIC, ART, FICTION, PERFORMANCE, ETC. PERIODICALLY, I AM INVOLVED IN PERFORMANCE EVENTS AND SALES OF MY CREATIVE WORK (CDS, MP3S, MP4S, LITERATURE, SPONSOR DONORS, ETC.). INCOME $10,000 OR ABOVE (OR ZERO). - TIME SPENT 10%. 2. 11/10/2009 - OTHER-INSTRUCTOR - INSTRUCTOR ON FINANCIAL LITERACY, ADMINISTERED THROUGH CHURCHES, ARTIST GROUPS, AND COMMUNITY ORGANIZATIONS. I WOULD TEACH ONLINE AND/OR IN PERSON, USING COMPLIANCE APPROVED MATERIALS. - 10% OF TIME. 3. 05/25/2015 - BARRINGTON MIDDLE SCHOOL - NOT INV REL - 261 MIDDLE HWY, BARRINGTON, RI 02806 - COACH - START 05/12/2015 - 6 HOURS PER MONTH, 3 HOURS DURING TRADING - PART TIME COACH OF MIDDLE SCHOOL TRACK AND RUNNING TEAM. 4. 08/19/2015 - NO BUSINESS NAME - INV REL - LOCATIONS VARY DEPENDING UPON SESSION(S) BUT PRIMARILY LOCATED IN RI AND MASSACHUSETTS. - SEMINAR - START 09/01/2015 - 10 HOURS PER MONTH, 5 DURING TRADING - I TEACH AND FACILITATE GENERAL FINANCIAL LITERACY AND RELATED TOPICS TO LOCAL ARTISTS AND NON-PROFIT GROUP 5. 01/11/2016 - NO BUSINESS NAME - INV REL - Teaching - START 12/29/2016 - 16 HOURS OPER MONTH, 8 DURING TRADING - I help/assist groups that are involved in reducing gang violence, gun violence, and other forms of violence. 6. 2/4/2019 - Gunness Financial Services, LLC - DBA: Gunness Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/2019 - 240 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-03-16
S63	Uniform Securities Agent State Law Examination	2001-03-09

S65 Uniform Investment Adviser Law Examination

2001-03-16
S63 Uniform Securities Agent State Law Examination

2001-03-09

View on SEC IAPD