Paul Frederick Goldbach

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
NC	RA	APPROVED	2021-03-01
FL	RA	APPROVED	2000-09-11
TX	RA	APPROVED_RES	2000-09-11

NC RA
APPROVED

Since 2021-03-01
FL RA
APPROVED

Since 2000-09-11
TX RA
APPROVED_RES

Since 2000-09-11

Branch Locations

Coral Springs, FL • United States

Bryson City, NC • 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 (Formerly: Linsco/Private Ledger Corp.)	Coral Springs	FL	09/2000	Present

09/2000 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Coral Springs, FL

Other Businesses

1. 4/21/2011 - PAUL F GOLDBACH - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 5% - SELLING FIXED LIFE INSURANCE AND FIXED ANNUITIES, DISABILITY INSURANCE, LONG TERM CARE INSURANCE, HEALTH INSURANCE. 2. 3/30/2017 - S3 Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/23/2017 - 200 Hours Per Month/150 Hours During Securities Trading. 3. 5/1/2019 - No Business Name - Not Investment Related - 32 Amber Drive, Horseshoe, NC 28742 - Other-Business Owner - Started 04/22/2019 - 10 Hours Per Month/0 Hours During Securities Trading - Creator, performer, publisher, recording of original music content to be available for purchase. 4. 9/14/2021 - Wealthplan, Inc. - DBA: Wealthplan - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/15/2017 - 200 Hours Per Month/125 Hours During Securities Trading - S Corp only / not using as a DBA to the public. Only being used as a revenue flow through / business expenses, etc.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-04-10

S63 Uniform Securities Agent State Law Examination

1995-04-10

View on SEC IAPD