John Wesley Short

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

• 04/2004 → Present
  Lpl Financial Llc
  Richmond, KY

Previous Registrations

• 2003-08-07 → 2004-04-05
  Osaic Fs, Inc.
  Lexington, KY

Other Businesses

1. 03/22/2004 - Non-Variable Insurance - INV REL - SELLING UNIVERSAL AND TERM LIFE INSURANCE 2. 04/06/2004 - Business Entity For Tax/Investment Purposes Only - INV REL - JOHN W SHORT - FINANCIAL PLANNING - FOR ACCOUNTING PURPOSES ONLY 3. 01/13/2006 - NON-VARIABLE INSURANCE - GENERAL AGENT FOR MIDLAND NATIONAL (FIXED LIFE PRODUCTS ONLY). - TIME SPENT 25% - RICHMOND, KY. 4. 02/01/2015 - INVESTMENTS & FINANCIAL STRATEGIES, INC. (IFS) - NON-VARIABLE INSURANCE - TIME SPENT 20 HOURS PER MONTH -RICHMOND, KY 5. 9/6/2017 - Investments & Financial Strategies Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/15/2004 - 40 Hours Per Month/7 Hours During Securities Trading. 6. 11/8/2019 - Brokers International Brokerage general agency - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/01/2019 - 25 Hours Per Month/1 Hour During Securities Trading - Selling fixed life insurance products.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-04-19