Brian Charles Laux

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

• 06/2009 → 03/2017
  Invesco Aim Distributors, Inc.
  Houston, TX
• 01/2010 → 03/2017
  Invesco Advisers, Inc.
  Atlanta, GA
• 03/2017 → 05/2018
  Victory Capital Advisers
  Brooklyn, OH
• 03/2017 → 05/2018
  Victory Capital Management Inc.
  Brooklyn, OH
• 01/2021 → Present
  Lpl Financial, Llc
  Huntington, NY
• 11/2018 → 01/2021
  Regal Securities
  Sea Girt, NJ
• 08/2018 → 06/2019
  Mater Dei Prep High School
  Middletown, NJ

Previous Registrations

• 2018-11-26 → 2021-03-02
  Regal Advisory Services, Inc.
  Sea Girt, NJ
  Glenview, IL
• 2018-01-09 → 2018-05-18
  Victory Capital Management Inc.
  Middletown, NJ
• 2010-01-01 → 2017-05-03
  Invesco Advisers, Inc.
  Atlanta, GA
• 2009-07-16 → 2010-01-01
  Invesco Aim Private Asset Management, Inc.
  Houston, TX
• 2005-06-30 → 2008-12-31
  Russell Investments
  New York, NY
• 2003-07-16 → 2003-12-01
  Curian Capital, Llc
  Denver, CO

Other Businesses

1)1996 - OUTSIDE/W-2 EMPLOYMENT - GAME 7 SPORTS - 30HRS/MO - NOT INVESTMENT RELATED - NEW CENTRE, NY 11570 2)7/21/2021 - Zando Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 6/30/2021 - 1 Hour Per Month/1 Hour During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2003-07-15
• S63 Uniform Securities Agent State Law Examination
  1999-01-23