Jon Kendal Frick

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

• 05/2006 → 04/2018
  First National Bank In Sioux Falls
  Sioux Falls, SD
• 05/2006 → 04/2018
  Cetera Investment Services
  St. Cloud, MN
• 01/2014 → 04/2018
  Cetera Investment Advisers Llc
  Sioux Falls, SD
• 05/2018 → Present
  Lpl Financial Llc
  Sioux Falls, SD

Previous Registrations

• 2014-01-21 → 2018-04-27
  Cetera Investment Advisers Llc
  Sioux Falls, SD
• 2006-05-19 → 2014-01-21
  Cetera Investment Services Llc
  Sioux Falls, SD
• 2004-04-28 → 2006-04-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sioux Falls, SD
  Sioux Falls, SD

Other Businesses

1)05/16/2018 - FARM - FRICK BROS, LLC - 2% - CANTON, SD 57013 2. 7/31/2018 - Sioux Falls Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:07/23/2018 - 200 Hours Per Month/160 Hours During Trading. 3. 4/20/2020 - Frick Farms - 28257 478th St Canton, SD 57013 - Real Estate Rental - Started 04/03/2020 - 2 Hours Per Month/0 Hours During Securities Trading - Inherited farm land from grandmother.

Exams

• S66 Uniform Combined State Law Examination
  2004-04-27
• S63 Uniform Securities Agent State Law Examination
  1999-02-03

Other Names

• Jon Frick