Joanne Sarah Vasquez

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

• 10/2006 → Present
  Lpl Financial Llc
  Horsham, PA

Other Businesses

1.09/23/2013; JOANNE VAZQUEZ; Notary; Not Investment Related; ; Start Date ; hrs/mth; hrs during trading 2.08/25/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Independent advisor Group; Investment Related; at Reported Business Location(s); Start Date 08/20/2026; 160hrs/mth; 130hrs during trading

Exams

• S66 Uniform Combined State Law Examination
  2026-07-31
• S63 Uniform Securities Agent State Law Examination
  2006-12-05