Caryn Annik Sophie Augst

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

• 05/1987 → 03/2017
  Metropolitan Life Insurance Company
  Santa Rosa, CA
• 05/1987 → 03/2017
  Metlife Securities Inc.
  Santa Rosa, CA
• 07/2016 → 03/2021
  Massachusetts Mutual Life Insurance Company
  Walnut Creek, MA
• 03/2017 → 03/2021
  Mml Investors Services, Llc
  Walnut Creek, CA
• 03/2021 → 05/2024
  Lincoln Financial Advisors Corporation
  Burlingame, CA
• 05/2024 → Present
  Lpl Financial Llc
  Berkeley, CA

Previous Registrations

• 2021-03-03 → 2024-05-08
  Osaic Fs, Inc.
  San Carlos, CA
  Berkeley, CA
• 2017-03-25 → 2021-03-03
  Mml Investors Services, Llc
  Walnut Creek, CA
  Pleasanton, CA
• 2001-05-22 → 2017-03-25
  Msi Financial Services, Inc.
  Walnut Creek, CA
  Santa Rosa, CA
  San Jose, CA
  Walnut Creek, CA

Other Businesses

1) 04/29/2024 - Pacific Wealth Management Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 20 Hours per month. 2) 04/29/2024 - Non-Variable Insurance - Selling: Fixed Insurance and Fixed Annuities, MassMutual and AIP - CA 94404 - Investment related - 1% Time spent - Start date: 04/12/2024.

Exams

• S63 Uniform Securities Agent State Law Examination
  2013-02-15
• S65 Uniform Investment Adviser Law Examination
  1999-11-22

Designations

• Certified Financial Planner