Roger Braun Adler

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

• 09/2009 → Present
  Lpl Financial Llc
  Scottsdale, AZ

Previous Registrations

• 2000-12-12 → 2009-09-03
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scottsdale, AZ
  Scottsdale, AZ

Other Businesses

1. 6/29/2021 - Raintree Wealth Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 6/21/2021 - 160 Hours Per Month/6 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-09-23
• S63 Uniform Securities Agent State Law Examination
  1998-06-05

Other Names

• Roger B Adler