Douglas Robert Schulte

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2020-09-30

IA RA
APPROVED

Since 2020-09-30

Branch Locations

3575 N 181St St, Omaha, NE 68022 • United States

390 Jotfsn Vtrrk Pstkesy, West Des Moines, IA 50266 • United States

4729 Sw 9Th St, Des Moines, IA 50315 • United States

2805 Beaver Ave, Des Moines, IA 50310 • United States

7031 Douglas Ave, Urbandale, IA 50322 • United States

12333 University Ave, Clive, IA 50325 • United States

930 Tower Park Drive, Waterloo, IA 50701 • United States

3409 Cedar Heights Drive, Cedar Falls, IA 50613 • United States

1085 E Hickman Rd, Waukee, IA 50263 • United States

705 6Th Ave, Grinnell, IA 50112 • United States

2610 Sw White Birch Dr, Ankeny, IA 50023 • United States

1301 E 1St St, Grimes, IA 50111 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameritas Investment Corp	Lincoln	NE	09/2001	02/2017
First American Bank (Accquired By Greenstate Cu)	Clive	IA	09/2001	Present
Sii	Clive	MA	03/2017	11/2018
Royal Alliance Associates, Inc.	Clive	IA	11/2018	09/2020
Lpl Financial Llc	Clive	IA	09/2020	Present

09/2001 → 02/2017

Ameritas Investment Corp

Lincoln, NE
09/2001 → Present

First American Bank (Accquired By Greenstate Cu)

Clive, IA
03/2017 → 11/2018

Sii

Clive, MA
11/2018 → 09/2020

Royal Alliance Associates, Inc.

Clive, IA
09/2020 → Present

Lpl Financial Llc

Clive, IA

Previous Registrations

2018-11-02 → 2020-10-05

Osaic Wealth, Inc.

Johnston, IA

Clive, IA
2017-03-08 → 2018-11-02

Signator Investors, Inc.

Clive, IA

Johnston, IA

Clive, IA
2007-08-14 → 2017-03-13

Ameritas Investment Company, Llc

W Des Moines, IA

Clive, IA

Urbandale, IA

Ames, IA

Clive, IA

Clive, IA

Clive, IA

Waukee, IA

Des Moines, IA

Des Moines, IA

Ames, IA

Other Businesses

1)9/30/2020- GreenState Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100% 2)9/30/2020- GreenState Financial -Non-Variable Insurance- Agent selling life, accident, health, disability income and long- Inv. Related- Clive, IA- start date 10/1/2020- 20hrs/mth 3) 02/25/2025- FOSSING FARM LLC-For-Profit Board Member- Not INV Related- Home based- Start date 01/01/2025- 1 Hour Per Month

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-07-19
S63	Uniform Securities Agent State Law Examination	1998-01-19

S66 Uniform Combined State Law Examination

2007-07-19
S63 Uniform Securities Agent State Law Examination

1998-01-19

View on SEC IAPD