Pragna Gadhvi Rohman

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

• 04/2007 → 01/2025
  Morgan Stanley & Co., Incorporated
  Riverwoods, IL
• 06/2009 → 01/2025
  Morgan Stanley Smith Barney
  Metamora, IL
• 01/2025 → Present
  Lpl Financial Llc
  Winnetka, IL

Previous Registrations

• 2011-09-30 → 2025-01-23
  Wintrust Investments Llc
  Wilmette, IL
  Wilmette, IL
  Chicago, IL
  Winnetka, IL
  St. Charles, IL
  Chicago, IL
• 2011-09-30 → 2018-04-10
  Great Lakes Advisors, Llc
  Chicago, IL
  St. Charles, IL
  St. Charles, IL
• 2009-06-01 → 2011-10-13
  Morgan Stanley
  Winnetka, IL
  Metamora, IL
  Riverwoods, IL
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Winnetka, IL
  Metamora, IL
  Riverwoods, IL
• 2003-11-21 → 2007-04-02
  Morgan Stanley Dw Inc.
  Riverwoods, IL
  Riverwoods, IL
  Metamora, IL
• 2000-09-29 → 2003-11-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oak Brook, IL

Other Businesses

1- 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 10/11/2010- 160 hours per month/ during trading 2- 01/2025- Beverly Coffey Trust- Act in a Fiduciary Capacity - Investment Related - IL - Start Date 07/01/2022 - 0 hours per month/ during trading 3- 01/2025- Sizzle Foundation- Non-Profit Board Member - Not Investment Related - IL - Start Date 12/12/2022 - 1 hour per month/ during trading 4- 01/2025- Royal Foods & Flavors- Business Owner- Not Investment Related - IL- Start Date 11/13/2023- 10 hours per month/ 3 hours during trading 5- 01/2025- Beverly Coffey Trust- Act in a Fiduciary Capacity- Investment Related - IL- Start Date 08/01/2023 - 0 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-09-20
• S63 Uniform Securities Agent State Law Examination
  2000-05-03

Other Names

• Pragna Harish Gadhvi