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Page 1: LPL Financial LLC - Alabama Securities Commission › Orders › 2018 › CO-2018-0024.pdf · LPL Financial LLC ("LPL"), CRD # 6413, is an entity currently registered as a broker-dealer

Page 2: LPL Financial LLC - Alabama Securities Commission › Orders › 2018 › CO-2018-0024.pdf · LPL Financial LLC ("LPL"), CRD # 6413, is an entity currently registered as a broker-dealer

Page 3: LPL Financial LLC - Alabama Securities Commission › Orders › 2018 › CO-2018-0024.pdf · LPL Financial LLC ("LPL"), CRD # 6413, is an entity currently registered as a broker-dealer

Page 4: LPL Financial LLC - Alabama Securities Commission › Orders › 2018 › CO-2018-0024.pdf · LPL Financial LLC ("LPL"), CRD # 6413, is an entity currently registered as a broker-dealer

Page 5: LPL Financial LLC - Alabama Securities Commission › Orders › 2018 › CO-2018-0024.pdf · LPL Financial LLC ("LPL"), CRD # 6413, is an entity currently registered as a broker-dealer

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JAMES EDWARD BASHAWia 09/2014 - 10/2014 wunderlich securities, inc. 2543 houston, tx ia 11/2001 - 10/2014 lpl financial llc 6413 houston, tx b 11/2001 - 10/2014 lpl financial llc 6413

RETIREMENT PLAN PROGRAMS BROCHURE...RETIREMENT PLAN PROGRAMS BROCHURE A15 – 0320 LPL FINANCIAL LLC Page 1 Member FINRA / SIPC LPL Financial LLC 1055 LPL Way, Fort Mill, SC 29715

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MODEL WEALTH PORTFOLIOS (MWP) PROGRAM BROCHUREMODEL WEALTH PORTFOLIOS (MWP) PROGRAM BROCHURE . A11 – 0320 LPL FINANCIAL LLC . Page 1 . Member FINRA / SIPC . LPL Financial LLC . 1055

LPL FINANCIAL LLC · LPL FINANCIAL LLC Section Title Report Summary Firm History CRD# 6413 1 11 Firm Profile 2 - 10 ... brokerage firms to submit as part of the registration and licensing

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LPL Financial Firm Brochure (A58) FINANCIAL FIRM BROCHURE A58 – 0318 LPL FINANCIAL LLC Page 2 Member FINRA / SIPC that registration as an investment advisor with the SEC does not

LPL Financial Firm Brochure (A58) - Paladin Registry · 2019-11-14 · LPL FINANCIAL FIRM BROCHURE A58 – 0316 LPL FINANCIAL LLC Page 1 Member FINRA / SIPC LPL Financial LLC 75 State