Douglas Huntington Cardiff

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
WA	RA	APPROVED	2022-01-10
TX	RA	APPROVED_RES	2016-10-31
PA	RA	APPROVED	2007-10-31

WA RA
APPROVED

Since 2022-01-10
TX RA
APPROVED_RES

Since 2016-10-31
PA RA
APPROVED

Since 2007-10-31

Branch Locations

380 Southpointe Blvd Ste 300, Canonsburg, PA 15317 • United States

Bellevue, WA • 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	Bellevue	WA	10/2007	Present

10/2007 → Present

Lpl Financial Llc

Bellevue, WA

Previous Registrations

2003-07-03 → 2007-10-29

Ameriprise Financial Services, Llc

Mt Lebanon, PA

Other Businesses

1. 6/25/2015 - Cardiff, Provins & Angel Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/15/2015 - 180 Hours Per Month/130 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-11-01

S66 Uniform Combined State Law Examination

2000-11-01

View on SEC IAPD