Frank H Grote

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2015 → Present
  Bmo Bank Na
  Glen Ellyn, IL
• 03/2021 → Present
  Lpl Financial Llc
  Naperville, IL

Previous Registrations

• 2015-03-24 → 2021-03-24
  Bmo Harris Financial Advisors, Inc.
  Glen Ellyn, IL
  Naperville, IL
• 2012-10-01 → 2015-03-11
  J.P. Morgan Securities Llc
  Chicago, IL
  Wheaton, IL
• 2005-07-06 → 2012-10-01
  Chase Investment Services Corp.
  Chicago, IL
  Chicago, IL
  Chicago, IL
  Mt. Prospect, IL
• 2003-04-16 → 2005-07-06
  Banc One Securities Corporation
  Mount Prospect, IL

Other Businesses

1)03/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - Naperville, IL 60563 2)03/2015 - Financial Institution Duty - BMO Bank NA - Investment Related - Naperville, IL 60563

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-10-21
• S63 Uniform Securities Agent State Law Examination
  2000-07-26