Samuel Joseph Caswell
Investment adviser representative at LPL Financial LLC
11 yearsExperience
2 statesRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
11 years in the industry.
- LPL Financial LLCOct 2023 to now
- First Farmers & Merchants BankOct 2020 to Oct 2023
- Charter BankMar 2020 to Oct 2020
- Commerce BankDec 2019 to Mar 2020
- BMO Harris BankMay 2019 to Nov 2019
- Charter BankJul 2015 to May 2019
Exams passed
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 2 states (MN, TX).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5798666
- Firm CRD
- 6413