Raja Govind Asava

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

• 05/1995 → 12/2021
  Schekpo Inc.
  Grand Rapids, MI
• 05/2011 → 06/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 05/2011 → 06/2023
  Spc
  Ann Arbor, MI
• 06/2023 → Present
  Lpl Financial Llc
  Traverse City, MI

Previous Registrations

• 2011-05-25 → 2023-06-16
  Spc
  Traverse City, MI
  Ann Arbor, MI
• 2010-06-17 → 2011-06-06
  Ameriprise Financial Services, Llc
  Traverse City, MI
  Traverse City, MI
  Traverse City, MI
• 2007-08-20 → 2009-05-08
  Ameriprise Advisor Services, Inc.
  Lansing, MI
  Okemos, MI

Other Businesses

1. 06/16/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 08/07/2023 - ASAVA INC - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start Date 2/2/1988 3. 08/07/2023 - H % R BLOCK - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 2/7/1988 - 100 Hours Per Month - Time Spent 5% 4. 08/07/2023 - GRAND TRAVERSE COUNTY - Real Estate Rental - Investment Related - Traverse City, MI - Start Date 1/11/2011 - 3 Hours Per Month - Time Spent 3%

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-08-17
• S63 Uniform Securities Agent State Law Examination
  2002-05-29

Other Names

• Govind Raja Asava