Stefan Evan Rosuck

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
TX	RA	APPROVED_RES	2017-10-03
IL	RA	APPROVED	2009-11-13

TX RA
APPROVED_RES

Since 2017-10-03
IL RA
APPROVED

Since 2009-11-13

Branch Locations

30 E Huron St Apt 4506, Chicago, IL 60611 • United States

Disclosures

2 disclosure categories 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Corporation	Gurnee	IL	11/2009	Present

11/2009 → Present

Lpl Financial Corporation

Gurnee, IL

Previous Registrations

2009-06-01 → 2009-12-10

Morgan Stanley

Deerfield, IL
2007-07-10 → 2009-06-01

Citigroup Global Markets Inc.

Deerfield, IL
2001-11-13 → 2007-07-25

Ubs Financial Services Inc.

Northbrook, IL

Northbrook, IL

Other Businesses

1. 11/13/09 - DBA ONLY / INTELLIGENT INVESTMENT STRATEGIES 2. 10/12/2022 - Gateway Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/07/2022 - 1 Hours Per Month/1 Hours During Securities Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-11
S63	Uniform Securities Agent State Law Examination	1998-06-29

S65 Uniform Investment Adviser Law Examination

1999-06-11
S63 Uniform Securities Agent State Law Examination

1998-06-29

View on SEC IAPD