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Mark Oles

LPl Financial LLC

Walpole, MA

Boston, MA

CRD 3201998

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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

AuthorityCategoryStatusDate
MA RA APPROVED 2026-04-23
  • MA RA
    APPROVED
    Since 2026-04-23

Branch Locations

Walpole, MA • United States

201 Washington St Ste 300, Boston, MA 02108 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Boston MA 08/2007 03/2026
Lpl Financial, Llc Walpole MA 03/2026 Present
Previous Registrations
Other Businesses

1) 02/23/2026 - Notary Public - Inv. Related- Walpole, MA 02071 - start date 02/17/2024 - 1 hr per month / 0 during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-18
S63 Uniform Securities Agent State Law Examination 2000-02-05
  • S65 Uniform Investment Adviser Law Examination
    2006-02-18
  • S63 Uniform Securities Agent State Law Examination
    2000-02-05
Other Names
  • Mark Andy Oles

View on SEC IAPD

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