Warren David Wise

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

• 05/2004 → Present
  Lpl Financial Llc
  Greensboro, NC

Previous Registrations

• 2001-12-31 → 2004-06-01
  Ws Griffith Securities, Inc.
  Greensboro, NC

Other Businesses

(1) 06/28/2004 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE (2) 11/05/2015 - WDW LAND COMPANY - Other - INV REL - 437 WEDGEWOODCT EDEN, NC 2728 - START 10/26/2015 - 3 HRS/MO NOT DURING SECS TRDG HRS. (3) 11/14/2016: LTCi PARTNERS - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/08/2016 - 4 Hours Per Month/1 Hour During Securities Trading. (4) 06/23/2023 - Trinity Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 6/23/2023

Exams

• S63 Uniform Securities Agent State Law Examination
  1986-08-21