Raymond Anthony Dicius

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

• 11/2002 → Present
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  Indian Wells, CA
• 11/2002 → Present
  Trisummit Investment Advisors
  Indian Wells, CA

Previous Registrations

• 2015-01-23 → 2022-01-12
  Trisummit Investment Advisors
  Indian Wells, CA
• 2003-06-04 → 2014-12-31
  Trisummit Investment Advisors
  Newport Beach, CA
• 2002-05-28 → 2002-12-03
  Rbc Capital Markets, Llc
  Newport Beach, CA

Other Businesses

1. 11/14/2002 - FOUNDATION SERVICES GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 2/16/06 - TRISUMMIT ENTERPRISES - Not Investment Related - Business Owner - Time Spent 25% - LIFE STYLE CONSULTING COMPANY PRODUCING ARTICLES, SEMINARS, BOOKS, PRODUCTS, MEMBERSHIPS, EDUCATIONAL MATERIAL, ETC. 3. 2/15/2018 - TriSummit Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/06/2002 - 160 Hours Per Month/6 Hours During Securities Trading. 4. 12/20/2021 - TRISUMMIT INSURANCE - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/07/2006.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-09
• S63 Uniform Securities Agent State Law Examination
  1996-12-31

Other Names

• Ray Dicius