Robert John Newman

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	2017-09-15
CO	RA	APPROVED	2004-03-01

TX RA
APPROVED_RES

Since 2017-09-15
CO RA
APPROVED

Since 2004-03-01

Branch Locations

Centennial, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Colorado Springs	CO	03/2004	Present

03/2004 → Present

Lpl Financial, Llc

Colorado Springs, CO

Previous Registrations

1999-01-01 → 2003-12-19

Veravest Investment Advisors, Inc.

Boulder, CO

Other Businesses

1. 3/10/2015: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - WESTERN WEALTH ADVISORS - STARTED 03/09/2015 - INVESTMENT RELATED - 160 HOURS PER MONTH DURING TRADING - 1951 E. NICHOLS DRIVE, CENTENNIAL, CO 80122. 2. 12/14/2016 - Wealth Management Services at Aventa Credit Union - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/10/2016 - 100 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-09-10
S63	Uniform Securities Agent State Law Examination	1991-12-09

S65 Uniform Investment Adviser Law Examination

1997-09-10
S63 Uniform Securities Agent State Law Examination

1991-12-09

View on SEC IAPD