Arthur Barton Pierce

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-09-11
PA	RA	APPROVED	2016-12-01
CA	RA	APPROVED	2006-01-27

TX RA
APPROVED_RES

Since 2020-09-11
PA RA
APPROVED

Since 2016-12-01
CA RA
APPROVED

Since 2006-01-27

Branch Locations

Santa Rosa, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger)	Santa Rosa	CA	01/2006	Present

01/2006 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger)

Santa Rosa, CA

Previous Registrations

1997-07-08 → 2006-02-28

Ubs Financial Services Inc.

Santa Rosa, CA

Other Businesses

1. 3/16/2012 - DBA ONLY - PIERCE FINANCIAL GROUP. INC.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-08-26

S63 Uniform Securities Agent State Law Examination

1987-08-26

Other Names

Bart Pierce
Arthur B Pierce

View on SEC IAPD