Rene Frank Ornelas

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

• 11/2010 → Present
  Lpl Financial, Llc
  New Castle, PA
• 11/2010 → 03/2019
  Independent Financial Partners
  Victorville, CA
• 03/2019 → 03/2024
  Independent Advisor Alliance, Llc
  Victorville, CA

Previous Registrations

• 2019-03-20 → 2024-03-04
  Independent Advisor Alliance, Llc
  Victorville, CA
  New Castle, PA
• 2010-11-24 → 2019-03-18
  Independent Financial Partners
  Victorville, CA
  Victorville, CA
• 2009-09-22 → 2010-12-01
  Nrp Advisors, Inc.
  Victorville, CA
  Bryan, OH
• 2005-06-03 → 2009-09-22
  Wells Fargo Advisors Financial Network, Llc
  Victorville, CA
  Victorville, CA
• 2002-08-26 → 2005-06-08
  Morgan Stanley Dw Inc.
  Victorville, CA

Other Businesses

(1) 3/30/2011: DBA ONLY - BLUEROCK INVESTMENT SERVICES - VICTORVILLE, CA. (2) 10/13/2011: OTHER-MUSICIAN - I AM A MUSICIAN WHO GETS PAID TO PLAY GIGS. SPECIFIC DUTIES ARE TO BOOK GIGS AND PERFORM (SING AND PLAY GUITAR). - 5% OF TIME SPENT. (3) 11/22/2015 * NO BUSINESS NAME * Real Estate Rental * 460 Moore St New Castle, PA 16101 * 1 HR/MO NOT DURING SECS TRDG HRS. (4) 11/24/2015 * NO BUSINESS NAME * Real Estate Rental * 838 E. Lutton St New Castle, PA 16001 * 1 HR/MO NOT DURING SECS TRDG HRS. (5) 11/24/2015 * NO BUSINESS NAME * Real Estate Rental * 214 E Lutton St New Castle, PA 16101 * 1 HR/MO NOT DURING SECS TRDG HRS. (6) 1/2/2019 - No Business Name - Investment Related - New Castle, PA 16101 - Real Estate Rental - Start Date: 02/27/2018 - 1 Hour Per Month/0 Hours During Securities Trading. (7) 1/2/2019 - No Business Name - Investment Related - Farrell, PA 16121 - Real Estate Rental - Start Date: 09/24/2013 - 1 Hour Per Month/0 Hours During Securities Trading. (8) 1/2/2019 - 462 Moore - Investment Related - New Castle, PA 16101 - Real Estate Rental - Start Date: 01/11/2017 - 1 Hour Per Month/0 Hours During Securities Trading. (9) 2/1/2019 - No Business Name - Investment Related - New Castle, PA 16101 - Real Estate Rental - Started 05/23/2013 - 1 Hour Per Month/0 Hours During Securities Trading - Rental home with additional piece of land. (10) 6/6/2019 - Independent Advisor Alliance - DBA: (Hybrid) BlueRock Investment Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 03/20/2019 - 200 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 6/6/2019. I expect to spend approximately 200 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (11) 6/6/2019 - Independent Advisor Alliance (IAA) - DBA: (Hybrid) Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 03/20/2019 - 200 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 6/6/2019. I expect to spend approximately 200 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (12) 6/10/2019 - BlueRock Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/20/2019 - 200 Hours Per Month/100 Hours During Securities Trading. (13) 05/04/2023 - No Business Name - Investment Related - New Castle, PA - Real Estate Rental - Start Date 04/01/2023 - 0 Hours Per Month/0 Hours During Securities Trading (14) 05/04/2023 - No Business Name - Investment Related - New Castle, PA - Real Estate Rental - Start Date 05/01/2023 - 1 Hours Per Month/0 Hours During Securities Trading (15) 07/05/2023 - No Business Name - Investment Related - New Castle, PA - Real Estate Rental - Start Date 6/1/2023 - 1 Hour Per Month/ 0 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-08-23
• S63 Uniform Securities Agent State Law Examination
  1999-10-19