Andrew James Ruzicka

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

• 10/2004 → Present
  Lpl Financial Llc
  St. Louis, MO

Other Businesses

1. 09/27/06 - PRIVATE WEALTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 2. 05/11/2023 - Cornerstone Financial Group, Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 04/12/2023 - 10 Hours Per Month/10 Hours During Securities Trading 3. 01/06/2026 - CWM Planning - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/31/2025 - 4 hours per month/ during trading 4. 01/29/2026 - PWM Planning - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/27/2026 - 160 hours per month/ during trading

Exams

• S63 Uniform Securities Agent State Law Examination
  2001-08-13

Designations

• Certified Financial Planner

Other Names

• Andy James Ruzicka