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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 2007-01-09
  • MA RA
    APPROVED
    Since 2007-01-09

Branch Locations

Ashland, MA • United States

Tetschner Financial Services

Ashland, MA • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2005-03-11
  • MA RA
    APPROVED
    Since 2005-03-11

Branch Locations

Ashland, MA • 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
Lpl Financial, Llc Ashland MA 01/2007 Present
Tetschner Financial Services Ashland MA 09/2007 Present
Other Businesses

(1) 09/06/2007: Tetschner Financial Services - Registered Investment Advisor - DBA: Tetschner Financial Services - Investment Related - At Reported Business Location(s) - 1% Time Spent - I provide financial planning and consulting services through Tetschner Financial Services , an independent investment advisor firm. I started this business activity on 11/27/2006. I expect to spend approximately 80 hours/month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. (2) 09/06/2007: Tetschner Financial Services - Registered Investment Advisor - DBA: Tetschner Financial Services - Investment Related - At Reported Business Location(s) - 1% Time Spent - I provide financial planning and consulting services through Tetschner Financial Services , an independent investment advisor firm. I started this business activity on 11/27/2006. I expect to spend approximately 80 hours/month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. (3) 01/28/2008: Tetschner Financial Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (4) 01/28/2008: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 50% Time Spent - INS Types: Life, Health, Disability, LTC, Fixed Annuities (5) 8/1/2017: No Business Name - Investment Related - Century Estates Condominiums, Framingham, MA 01702 - Real Estate Rental - Started 01/01/1990 - 10 Hours Per Month/5 Hours During Securities Trading - Condominium rental units (8).

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-01-20
  • S63 Uniform Securities Agent State Law Examination
    1986-01-20
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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