Robert Warren Sundermann

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
NJ	RA	APPROVED	2023-06-28

NJ RA
APPROVED

Since 2023-06-28

Branch Locations

Ramsey, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Ibm Corporation	Englewood Cliffs	NJ	10/1980	06/2017
Cadaret, Grant & Co., Inc.	Ramsey	NJ	07/1998	06/2023
Lpl Financial Llc	Ramsey	NJ	06/2023	Present

10/1980 → 06/2017

Ibm Corporation

Englewood Cliffs, NJ
07/1998 → 06/2023

Cadaret, Grant & Co., Inc.

Ramsey, NJ
06/2023 → Present

Lpl Financial Llc

Ramsey, NJ

Previous Registrations

2017-12-05 → 2023-06-30

Cadaret, Grant & Co., Inc.

Wantage, NJ

Ramsey, NJ

Wantage, NJ

Other Businesses

1) 5/16/2023- Sundermann Financial Services - DBA for LPL Business (entity for LPL business)- Inv. Related- At reported business location(s)- 160hrs/mth 2) 06/28/2023 - Sundermann Financial Services - Home Based - Act in a Fiduciary Capacity - POA - Start Date 01/01/2019 - 8 Hours Per Month/ 1 Hour During Trading - Time Spent 1%

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-12-01
S63	Uniform Securities Agent State Law Examination	1998-02-10

S65 Uniform Investment Adviser Law Examination

2017-12-01
S63 Uniform Securities Agent State Law Examination

1998-02-10

View on SEC IAPD