Jerry Dale Catlett

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

• 06/2004 → Present
  Lpl Financial Llc
  Harrodsburg, KY

Previous Registrations

• 1992-05-20 → 2004-06-25
  Osaic Fs, Inc.
  Winchester, KY

Other Businesses

1) 06/25/2013: GCH Insurance Group - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 90% Time Spent 2) 10/06/2014: Alliance Financial Planning - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start 02/14/2014 - 40 Hr/Mo; 40 Hour(s) During Securities Trading 3) 03/14/2016: No Business Name - Real Estate Rental - Investment Related - Louisville, KY - Start 04/01/2011 - 0 hours per month/ during trading 4) 03/14/2016: No Business Name - Real Estate Rental - Investment Related - Harrodsburg, KY - Start 09/13/2004 - 0 hours per month/ during trading 5) 09/21/2016: Catlett's Financial & Insurance Service LLC. - Business Entity For Tax/Investment Purposes Only - Investment Related - 3304 Brighton Place Lexington, KY. - Start 01/01/2016 - 20 Hr/Mo; 20 Hour(s) During Securities Trading - Agent. 6) 2/15/2018 - No Business Name - Not Investment Related - Lexington, KY - Real Estate Rental - Started 01/22/2018 - 1 Hour Per Month/0 Hours During Securities Trading - Rental of office condo. 7) 7/3/2018 - No Business Name - Not Investment Related - Home Based - Real Estate Rental - Start Date: 05/15/2018 - 10 Hours Per Month/1 Hour During Securities Trading 8) 8/1/2019 - Investments & Financial Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 07/22/2019 - 30 Hours Per Month/20 Hours During Securities Trading. 9) 12/4/2019 - Brokers International Brokerage general agency - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/01/2019 - 20 Hours Per Month/1 Hour During Securities Trading - Selling fixed life insurance. 10) 08/04/2021 - Mercer County Kentucky Planning and Zoning Commission - Not Investment Related - Harrodsburg, KY 40330 - Non-Profit Board Member - Planning Commissioner - Start Date: 08/02/2021 - 3 Hours Per Month/0 Hours During Securities Trading. 11) 10/26/2021 - Salt River B&B LLC - Investment Related - At Reported Business Location(s) - Business Owner - Start Date: 10/01/2021 - 8 Hours Per Month/4 Hours During Securities Trading. 12) 02/08/2022 - No Business Name - Investment Related - Lawrenceburg, KY- Real Estate Rental - Start Date: 01/01/2022 - 0 Hours Per Month/0 Hours During Securities Trading. 13) 11/03/2025 - jerry Catlett and or Cathy Catlett - Other - Real estate - Investment Related - Harrodsburg, KY - Start Date 06/09/2025 - 1 hour per month/ 0 hours during trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1986-02-24