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LPL Financial DBA Ten40Investing, www.ten40investing.llc

404 N. 31st Street
Suite 423

location Billings, MT 59101

call406-409-3450

About LPL Financial DBA Ten40Investing, www.ten40investing.llc

At Ten40Investing, there is a large team of specialists behind us at LPL Financial that partner & specialize with our independent branch for security, enhanced strategies, and compliance oversight for the benefit of our clients. Ultimately, being an independent Advisor meant not being subject to traditional business models common to the financial and broker industry, operating as a self-employed fiduciary, setting our fees lower than the general competition, having more flexibility, and tools for clients' portfolios and financial plan -- all for the clients' greater benefit.

At LPL Financial - we believe that a better investment experience begins with independent, personalized advice. That means that when your financial professional works with LPL, they have the freedom to focus solely on your objectives and financial goals. They're free to build their own personal relationships with their clients. Free to choose the business model and practices that work best for them. And free to recommend only the investment strategies that they believe will best serve their clients. - LPL Financial 8/02/2022

See Disclosures

General Information

Firm Start Year

2024

No. of Employees

1

CRD#

3071345, 7082044

Firm CRD#

6413

Insurance License#

3000579262

States Licensed in

MT, FL

Work with the following types of clients

Businesses, Individual Investors

Advisory Services Provided

Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Financial Planning for Individuals, Education Funding and Planning

Services

Investment Types

Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Insurance, Stocks, Bonds

Can meet clients in the following ways

Your Home, Our Office, Phone, Email, Your Office, Video Conference

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Securities Licenses

Series 66, Series 7

Insurance and Annuity Licenses

Health, Life, Variable Annuity, Long Term Care, Annuity, Variable Life

Compensation and Fees

Minimum Portfolio Size for New Managed Accounts

$100,000

Compensation Methods

Based on Assets, Hourly, Flat Fee, Commissions

Fee % Based on Assets

0.9

Education

Bachelor of Science - Business Administration: Finance Option

Montana State University Billings
09/01/2017 -4/22/2021

Disclosures

p>FinancialAdvisor.net provides referrals to financial professionals of LPL Financial, LLC (LPL). FinancialAdvisor.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay FinancialAdvisor.net cash compensation for these referrals, which creates the incentive for FinancialAdvisor.net to make these referrals, resulting in a conflict of interest.


LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

Disclaimer

Securities and advisory services are offered through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA/SIPC). Insurance products are offered through LPL or its licensed affiliates. Ten40Investing, LLC are not registered as a broker-dealer or investment advisor. Registered representatives of LPL offer products and services using LPL Financial and may also be employees of Ten40Investing, LLC. These products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, Ten40Investing, LLC. Securities and insurance offered through LPL or its affiliates are: Not Insured by FDIC or Any Other Government Agency, Not Bank Guaranteed, Not Bank Deposits or Obligations, May Lose Value.