JAMES HERBERT FORCELLA

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1 JAMES HERBERT FORCELLA 1600 Victor Ave. Redding, CA LPL Financial LLC 75 State Street, 24th Floor Boston, MA July 15, 2013 This brochure supplement provides information about James Forcella that supplements the LPL Financial disclosure brochure. You should have received a copy of that brochure that describes the investment advisory services offered through LPL Financial, an investment advisor firm. Please contact LPL Financial at the telephone number above or at if you did not receive LPL Financial's brochure or if you have any questions about the contents of the supplement. Additional information about James Forcella is available on the SEC's website at LPL Financial is both an investment advisor and a broker/dealer, which means an LPL Financial advisor can offer you both investment advisory and brokerage services. Our goal is to ensure that you feel fully informed about the account options available to you. There are important considerations you should take into account when deciding which type of service best serves your investment goals and needs. For further information regarding the types of accounts available at LPL Financial and the differences between brokerage and advisory accounts, please visit and click on Disclosure and then Working with an LPL Financial Advisor. Page 1 of 4

2 EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE James Herbert Forcella Year of birth: 1953 Education Shasta College; Associate in Arts Degree 09/01/ /10/1983 Business Experience LPL Financial LLC; Branch Manager 09/ PRESENT American General Financial Group (Valic); Branch Manager 05/ /2006 Professional Designations Certified Fund Specialist - CFS 02/1996 Designation: Certified Fund Specialist (CFS). Issuing Organization: Institute of Business & Finance. Prerequisites/Experience Required: Candidate must meet one of the following requirements: A bachelor's degree, or 1 year of financial services work experience. Educational Requirements: Candidate must complete Self Study Program (6 modules). Continuing Education: 30 hours every two years. Certified Financial Planner - CFP 07/1994 Designation: Certified Financial Planner (CFP ). Issuing Organization: Certified Financial Planner Board of Standards, Inc (CFPBS). Prerequisites/Experience Required: Must have a bachelor's degree (or higher) from an accredited college or university, and three years of full-time personal financial planning experience. Educational Requirements: Must complete a CFP -board registered program or hold another designation authorized by the CFPBS. Continuing Education: 30 hours every two years LEGAL AND DISCIPLINARY EVENTS Your financial advisor has no legal or disciplinary events required to be disclosed in response to this item. There may be items that are contained on brokercheck.finra.org or that you may wish to review and consider in your evaluation of your advisor's background. Page 2 of 4

3 OTHER BUSINESS ACTIVITIES Insurance Licensed Registered Representative: Your financial advisor is also a broker or registered representative of LPL Financial and may receive commissions and other types of compensation for the sale of securities. Your financial advisor also may sell insurance and may receive commissions for insurance product sales. The potential for the receipt of commissions may give a broker an incentive to recommend investment or insurance products based on the compensation received, rather than on the client's needs. However, your financial advisor may only recommend securities and insurance products that he or she believes are suitable for you. If you have any questions regarding the compensation your financial advisor receives when recommending a product, you should ask your financial advisor. You are under no obligation to purchase investment products or insurance through your financial advisor. Non-Investment Related Activities: Your financial advisor owns 6 rental homes, 1 duplex, and is a 50% owner of a 9 space trailer park. None of the tenants are customers; however, the other 50% owner of the trailer park is a client. This accounts for less than 1% of your financial advisors time and approximately 10% of your financial advisors income. Page 3 of 4

4 ADDITIONAL COMPENSATION Your financial advisor may receive economic benefits from persons other than clients in connection with advisory services. Please ask your financial advisor about whether he or she receives any of the forms of additional compensation outlined below. If your financial advisor provides services in a Strategic Asset Management (SAM) or Strategic Asset Management II (SAM II) account, your financial advisor may recommend mutual funds. Only no-load and load-waived mutual funds are available to be purchased in SAM/SAM II accounts. However, some of these mutual funds may pay LPL Financial distribution or service fees (e.g., 12b-1 fees). For retirement accounts, such fees received by LPL Financial are credited to your account. In non-retirement accounts, LPL Financial may share a portion of these fees with your financial advisor. The receipt of 12b-1 fees may present a conflict of interest because it may give an incentive to recommend mutual funds for non-retirement SAM/SAM II accounts based on the compensation received, rather than on a client's needs. However, when your financial advisor provides investment advisory services, he or she is a fiduciary under the Investment Advisers Act and has a duty to act in your best interest and to make full and fair disclosure to you of all material facts and conflicts of interest. Your financial advisor may receive compensation from product sponsors. Compensation may include such items as gifts valued at less than $100 annually, an occasional dinner or ticket to a sporting event, or reimbursement in connection with educational or training events or marketing or advertising initiatives. Such compensation may not be tied to the sale of any products. Your financial advisor receives compensation as a result of your participation in LPL advisory programs. LPL shares a portion of the account fee you pay with your financial advisor, which may be more than what your financial advisor would receive at another investment advisor firm. This compensation may also include other types of compensation, such as bonuses, awards or other things of value offered by LPL (or the bank, credit union or financial institution at which your financial advisor may be located) to your financial advisor. LPL may pay your financial advisor in different ways, such as payments based on production, awards of stock options to purchase shares of LPL's parent company, LPL Financial Holdings Inc., reimbursement of fees that your financial advisor pays to LPL for items such as administrative services, and other things of value such as free or reduced-cost marketing materials, payments in connection with the transition of association from another broker/dealer or investment advisor firm to LPL, advances of advisory fees, or attendance at LPL's national conference or top producer forums and events. LPL may pay your financial advisor this compensation based on his or her overall business production and/or on the amount of assets serviced in LPL advisory programs. Therefore, the amount of this compensation may be more than what the your financial advisor would receive if the client participated in other LPL programs, programs of other investment advisor firms or paid separately for investment advice, brokerage and other client services. Therefore, your financial advisor may have a financial incentive to recommend an advisory program over other programs and services. However, your financial advisor may only recommend a program or service that he or she believes is suitable for you. Your financial advisor may act as a referral agent to third party investment advisor firms and he or she may receive referral compensation from such investment advisor firms. In such case, you are provided disclosure about the arrangement and the compensation to be received at the time of the referral. SUPERVISION LPL Financial maintains a supervisory structure and system reasonably designed to prevent violations of the Investment Advisers Act of Your financial advisor's securities-related activities are supervised by an individual registered as a principal in accordance with FINRA regulations. In addition, compliance staff uses tools that monitor the advisory services provided by your financial advisor, for example, with respect to asset allocation, concentration, and account activity. Paul Middlemiss, Chief Compliance Officer - Advisory, is responsible for administering the LPL Financial policies and procedures for investment advisory activities and for regularly evaluating their effectiveness. Contact (800) for the name and phone number of your financial advisor's immediate supervisor or contact Advisory Compliance directly at Page 4 of 4

5 GEOFF VINCENT FORCELLA 1600 Victor Ave Redding, CA LPL Financial LLC 75 State Street, 24th Floor Boston, MA (800) May 28, 2013 This brochure supplement provides information about Geoff Forcella that supplements the LPL Financial disclosure brochure. You should have received a copy of that brochure that describes the investment advisory services offered through LPL Financial, an investment advisor firm. Please contact LPL Financial at the telephone number above or at if you did not receive LPL Financial's brochure or if you have any questions about the contents of the supplement. Additional information about Geoff Forcella is available on the SEC's website at Page 1 of 5

6 EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE Geoff Vincent Forcella Year of birth: 1985 Education Institute of Business & Finance; Master of Science, Financial Services 10/26/ /24/2013 University of California, Berkeley; Bachelor of Arts 08/01/ /13/2007 Business Experience LPL Financial LLC; Financial Advisor 09/ PRESENT Professional Designations Page 2 of 5

7 Masters of Science in Financial Services - MSFS Institute of Business and Finance 05/2013 Designation: Masters of Science in Financial Services (MSFS). Issuing Organization: The American College. Prerequisites/Experience Required: Must have a bachelor's degree from an accredited college or university. Educational Requirements: 12 Courses: 10 Required / 2 Elective. Continuing Education: None. Certified Divorce Financial Analyst - CDFA Institute for Divorce Financial Analysts 06/2012 Designation: Certified Divorce Financial Analyst (CDFA).Issuing Organization: The Institute for Divorce Financial Analysts. Prerequisites/Experience Required: 2 years of experience in the financial services field. Educational Requirements: Self-study course. Continuing Education: 20 hours every 2 years. Certified Income Specialist (Formerly Retirement Income Specialist) - CIS ( Formerly RIS ) Institute of Business and Finance 03/2012 Designation: Certified Income Specialist (CIS). Issuing Organization: Institute of Business & Finance. Prerequisites/Experience Required: 2,000 hours or more work experience in the financial services industry or a bachelor's degree from an accredited college or university. Educational Requirements: Candidate must complete Self Study Program (six modules) to be completed within 15 weeks. Continuing Education: 30 hours every two years. Chartered Life Underwriter - CLU The American College 10/2010 Designation: Chartered Life Underwriter (CLU). Issuing Organization: The American College. Prerequisites/Experience Required: 3 years of full-time business experience within the five years preceding the awarding of the designation. Educational Requirements: 5 core and 3 elective courses. Continuing Education: 30 hours every 2 years. Certified Financial Planner - CFP Certified Financial Planner Board of Standards, Inc. 03/2010 Designation: Certified Financial Planner (CFP ). Issuing Organization: Certified Financial Planner Board of Standards, Inc (CFPBS). Prerequisites/Experience Required: Must have a bachelor's degree (or higher) from an accredited college or university, and three years of full-time personal financial planning experience. Educational Requirements: Must complete a CFP -board registered program or hold another designation authorized by the CFPBS. Continuing Education: 30 hours every two years Accredited Investment Fiduciary - AIF Center for Fiduciary Studies 09/2009 Designation: Accredited Investment Fiduciary (AIF). Issuing Organization: Center for Fiduciary Studies. Prerequisites/Experience Required: None. Educational Requirements: Candidate must complete one of the following: Web-based program or Capstone program. Continuing Education: 6 hours per year. Certified Fund Specialist - CFS Institute of Business and Finance 08/2008 Designation: Certified Fund Specialist (CFS). Issuing Organization: Institute of Business & Finance. Prerequisites/Experience Required: Candidate must meet one of the following requirements: A bachelor's degree, or 1 year of financial services work experience. Educational Requirements: Candidate must complete Self Study Program (6 modules). Continuing Education: 30 hours every two years. LEGAL AND DISCIPLINARY EVENTS Your financial advisor has no legal or disciplinary events required to be disclosed in response to this item. There may be items that are contained on brokercheck.finra.org or that you may wish to review and consider in your evaluation of your advisor's background. Page 3 of 5

8 OTHER BUSINESS ACTIVITIES Insurance Licensed Registered Representative: Your financial advisor is also a broker or registered representative of LPL Financial and may receive commissions and other types of compensation for the sale of securities. Your financial advisor also may sell insurance and may receive commissions for insurance product sales. The potential for the receipt of commissions may give a broker an incentive to recommend investment or insurance products based on the compensation received, rather than on the client's needs. However, your financial advisor may only recommend securities and insurance products that he or she believes are suitable for you. If you have any questions regarding the compensation your financial advisor receives when recommending a product, you should ask your financial advisor. You are under no obligation to purchase investment products or insurance through your financial advisor. ADDITIONAL COMPENSATION Your financial advisor may receive economic benefits from persons other than clients in connection with advisory services. Please ask your financial advisor about whether he or she receives any of the forms of additional compensation outlined below. If your financial advisor provides services in a Strategic Asset Management (SAM) or Strategic Asset Management II (SAM II) account, your financial advisor may recommend mutual funds. Only no-load and load-waived mutual funds are available to be purchased in SAM/SAM II accounts. However, some of these mutual funds may pay LPL Financial distribution or service fees (e.g., 12b-1 fees). For retirement accounts, such fees received by LPL Financial are credited to your account. In non-retirement accounts, LPL Financial may share a portion of these fees with your financial advisor. The receipt of 12b-1 fees may present a conflict of interest because it may give an incentive to recommend mutual funds for non-retirement SAM/SAM II accounts based on the compensation received, rather than on a client's needs. However, when your financial advisor provides investment advisory services, he or she is a fiduciary under the Investment Advisers Act and has a duty to act in your best interest and to make full and fair disclosure to you of all material facts and conflicts of interest. Your financial advisor may receive compensation from product sponsors. Compensation may include such items as gifts valued at less than $100 annually, an occasional dinner or ticket to a sporting event, or reimbursement in connection with educational or training events or marketing or advertising initiatives. Such compensation may not be tied to the sale of any products. LPL Financial may pay your financial advisor bonuses based on production, award stock options to purchase shares of LPL Financial's parent company, LPL Investment Holdings Inc., reimburse fees that your financial advisor pays to LPL Financial for items such as administrative services, and provide other things of value such as free or reduced-cost marketing materials, payments in connection with the transition from another investment firm to LPL, or attendance at LPL Financial conferences and events. These types of compensation from LPL Financial may be based on overall business production and/or on the amount of assets serviced in LPL Financial advisory programs. These bonuses may give a financial advisor an incentive to recommend an advisory program over other programs and services. However, your financial advisor may only recommend a program or service that he or she believes is suitable for you. Your financial advisor may act as a referral agent to third party investment advisor firms and he or she may receive referral compensation from such investment advisor firms. In such case, you are provided disclosure about the arrangement and the compensation to be received at the time of the referral. SUPERVISION Page 4 of 5

9 LPL Financial maintains a supervisory structure and system reasonably designed to prevent violations of the Investment Advisers Act of Your financial advisor's securities-related activities are supervised by an individual registered as a principal in accordance with FINRA regulations. In addition, compliance staff uses tools that monitor the advisory services provided by your financial advisor, for example, with respect to asset allocation, concentration, and account activity. Paul Middlemiss, Chief Compliance Officer - Advisory, is responsible for administering the LPL Financial policies and procedures for investment advisory activities and for regularly evaluating their effectiveness. Contact (800) for the name and phone number of your financial advisor's immediate supervisor or contact Advisory Compliance directly at Page 5 of 5

10 THOMAS NICHOLAS FORCELLA 1600 Victor Ave Redding, CA LPL Financial LLC 75 State Street, 24th Floor Boston, MA June 05, 2013 This brochure supplement provides information about Thomas Forcella that supplements the LPL Financial disclosure brochure. You should have received a copy of that brochure that describes the investment advisory services offered through LPL Financial, an investment advisor firm. Please contact LPL Financial at the telephone number above or at if you did not receive LPL Financial's brochure or if you have any questions about the contents of the supplement. Additional information about Thomas Forcella is available on the SEC's website at LPL Financial is both an investment advisor and a broker/dealer, which means an LPL Financial advisor can offer you both investment advisory and brokerage services. Our goal is to ensure that you feel fully informed about the account options available to you. There are important considerations you should take into account when deciding which type of service best serves your investment goals and needs. For further information regarding the types of accounts available at LPL Financial and the differences between brokerage and advisory accounts, please visit and click on Disclosure and then Working with an LPL Financial Advisor. Page 1 of 4

11 EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE Thomas Nicholas Forcella Year of birth: 1959 Education Shasta College; 09/01/ /10/1978 Business Experience LPL Financial LLC; Financial Advisor 08/ PRESENT Valic Investment Services Company; Financial Advisor 08/ /2009 The Variable Annuity Marketing Company; Financial Advisor 11/ /2009 Professional Designations Certified Fund Specialist - CFS Institute of Business and Finance 06/2010 Designation: Certified Fund Specialist (CFS). Issuing Organization: Institute of Business & Finance. Prerequisites/Experience Required: Candidate must meet one of the following requirements: A bachelor's degree, or 1 year of financial services work experience. Educational Requirements: Candidate must complete Self Study Program (6 modules). Continuing Education: 30 hours every two years. LEGAL AND DISCIPLINARY EVENTS Your financial advisor has no legal or disciplinary events required to be disclosed in response to this item. There may be items that are contained on brokercheck.finra.org or that you may wish to review and consider in your evaluation of your advisor's background. Page 2 of 4

12 OTHER BUSINESS ACTIVITIES I am also a registered representative with LPL Financial, a registered broker/dealer and member of FINRA. In such capacity, I may sell securities through LPL Financial and receive normal and customary commissions as a result of such purchases and sales. The client is under no obligation to purchase or sell securities through me on a commissionable basis. In addition, I may receive other compensation such as mutual fund or money market 12b-1 fees and variable annuity trails. The potential for receipt of commissions and other compensation gives me an incentive to recommend investment products based on the compensation received, rather than on the client's needs. To address this, disclosure is made to the client at the time a brokerage account is opened through LPL Financial, identifying the nature of the transaction or relationship, the role to be played by LPL Financial and me, and any compensation (e.g., commissions, 12b-1 fees) to be paid by the client and/or received by the registered representative. I am also an insurance agent. In such capacity, I may offer fixed and variable life insurance products and receive normal and customary commissions as a result of any purchases made by clients. The client is under no obligation to purchase fixed or variable life insurance through me on a commissionable basis. In addition, I may receive other compensation such as fixed or variable life trails. The potential for receipt of commissions and other compensation gives me an incentive to recommend insurance products based on the compensation received, rather than on the client's needs. To address this, disclosure is made to the client at the time purchase is made, identifying the nature of the transaction or relationship, the role to be played by me, and any compensation(e.g., commissions, trails) to be paid by the client and/or received by the insurance agent. Page 3 of 4

13 ADDITIONAL COMPENSATION Your financial advisor may receive economic benefits from persons other than clients in connection with advisory services. Please ask your financial advisor about whether he or she receives any of the forms of additional compensation outlined below. If your financial advisor provides services in a Strategic Asset Management (SAM) or Strategic Asset Management II (SAM II) account, your financial advisor may recommend mutual funds. Only no-load and load-waived mutual funds are available to be purchased in SAM/SAM II accounts. However, some of these mutual funds may pay LPL Financial distribution or service fees (e.g., 12b-1 fees). For retirement accounts, such fees received by LPL Financial are credited to your account. In non-retirement accounts, LPL Financial may share a portion of these fees with your financial advisor. The receipt of 12b-1 fees may present a conflict of interest because it may give an incentive to recommend mutual funds for non-retirement SAM/SAM II accounts based on the compensation received, rather than on a client's needs. However, when your financial advisor provides investment advisory services, he or she is a fiduciary under the Investment Advisers Act and has a duty to act in your best interest and to make full and fair disclosure to you of all material facts and conflicts of interest. Your financial advisor may receive compensation from product sponsors. Compensation may include such items as gifts valued at less than $100 annually, an occasional dinner or ticket to a sporting event, or reimbursement in connection with educational or training events or marketing or advertising initiatives. Such compensation may not be tied to the sale of any products. Your financial advisor receives compensation as a result of your participation in LPL advisory programs. LPL shares a portion of the account fee you pay with your financial advisor, which may be more than what your financial advisor would receive at another investment advisor firm. This compensation may also include other types of compensation, such as bonuses, awards or other things of value offered by LPL (or the bank, credit union or financial institution at which your financial advisor may be located) to your financial advisor. LPL may pay your financial advisor in different ways, such as payments based on production, awards of stock options to purchase shares of LPL's parent company, LPL Financial Holdings Inc., reimbursement of fees that your financial advisor pays to LPL for items such as administrative services, and other things of value such as free or reduced-cost marketing materials, payments in connection with the transition of association from another broker/dealer or investment advisor firm to LPL, advances of advisory fees, or attendance at LPL's national conference or top producer forums and events. LPL may pay your financial advisor this compensation based on his or her overall business production and/or on the amount of assets serviced in LPL advisory programs. Therefore, the amount of this compensation may be more than what the your financial advisor would receive if the client participated in other LPL programs, programs of other investment advisor firms or paid separately for investment advice, brokerage and other client services. Therefore, your financial advisor may have a financial incentive to recommend an advisory program over other programs and services. However, your financial advisor may only recommend a program or service that he or she believes is suitable for you. Your financial advisor may act as a referral agent to third party investment advisor firms and he or she may receive referral compensation from such investment advisor firms. In such case, you are provided disclosure about the arrangement and the compensation to be received at the time of the referral. SUPERVISION LPL Financial maintains a supervisory structure and system reasonably designed to prevent violations of the Investment Advisers Act of Your financial advisor's securities-related activities are supervised by an individual registered as a principal in accordance with FINRA regulations. In addition, compliance staff uses tools that monitor the advisory services provided by your financial advisor, for example, with respect to asset allocation, concentration, and account activity. Paul Middlemiss, Chief Compliance Officer - Advisory, is responsible for administering the LPL Financial policies and procedures for investment advisory activities and for regularly evaluating their effectiveness. Contact (800) for the name and phone number of your financial advisor's immediate supervisor or contact Advisory Compliance directly at Page 4 of 4

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