Marc Ross

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
SC	RA	APPROVED	2019-04-08

SC RA
APPROVED

Since 2019-04-08

Branch Locations

Dorchester, MA • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
Signator Investors, Inc.	Boston	MA	06/2013	11/2017
Mlr	Dorchester	MA	11/2017	Present
Lpl Financial Llc	Dorchester	MA	04/2019	Present

06/2013 → 11/2017

Signator Investors, Inc.

Boston, MA
11/2017 → Present

Mlr

Dorchester, MA
04/2019 → Present

Lpl Financial Llc

Dorchester, MA

Previous Registrations

2013-06-20 → 2017-11-06

Signator Investors, Inc.

Boston, MA

Boston, MA
2007-07-24 → 2012-12-31

New England Securities

Orlando, FL
2001-01-01 → 2004-08-18

Voya Retirement Advisors, Llc

Quincy, MA

Other Businesses

1. 05/02/2019 - CFA Society of Boston - Investment related - Home based - Outside/W-2 Employment - start date:2016 - 6 hrs/mo - 0 hrs during trading - I and several other individuals produce practice questions and guideline answers in a freelance capacity for The CFA Society of Boston.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2007-07-19

S63 Uniform Securities Agent State Law Examination

2007-07-19

Designations

Certified Financial Planner
Chartered Financial Analyst

Other Names

Marc Louis Ross
Marc Louis Rosenstein

View on SEC IAPD