Terry Michael Finnegan

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2015 → 11/2017
  Investment Centers Of America, Inc.
  Peoria, IL
• 11/2017 → Present
  Lpl Financial Llc
  Pekin, IL

Previous Registrations

• 2015-03-04 → 2017-12-05
  Investment Centers Of America, Inc.
  Peoria, IL
  Peoria, IL
  Appleton, WI
  Pekin, IL
  Appleton, WI
• 2009-07-07 → 2015-03-04
  Invest Financial Corporation
  Pekin, IL
  Pekin, IL
  Pekin, IL

Other Businesses

1. 11/29/2017 - PEKIN LIFE INSURANCE COMPANY - Investment Related - 2505 Court St. Pekin IL - Non-Variable Insurance - Start Date 1994 - 5 Hours Per Month - Time Spent 5% - AGENT - Fixed Annuities, Term Life, Whole Life. 2. 11/29/2017 - First State Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - VP Investment Services. 3. 11/29/2017 - Fortress Investment Center - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 12/01/2017 - 40 Hours Per Month/40 Hours During Securities Trading. 4. 11/07/2023 - Act in a Fiduciary Capacity - Not Investment Related - At Reported Business Location(s) - Start Date 09/01/2023 - 1 Hour Per Month/ During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-07-06
• S63 Uniform Securities Agent State Law Examination
  1994-05-12