Robert T Li

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

• 08/2003 → Present
  Lpl Financial, Llc
  Centennial, CO

Previous Registrations

• 2003-07-01 → 2003-08-07
  Wells Fargo Clearing Services, Llc
  Oakbrook Terrace, IL
• 2000-01-20 → 2003-07-01
  Prudential Equity Group, Llc
  Oakbrook Terrace, IL

Other Businesses

1. 4/16/2009: RL WEALTH MANAGEMENT GROUP, LTD. - Investment Related - At Reported Business Location(s). 2. 10/27/2015: No Business Name - Investment Related - Lombard, IL - Real Estate Rental - Started 03/01/2013 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 2/7/2017 - No Business Name - Investment Related - Bolingbrook, IL - Real Estate Rental - Started 02/01/2017 - 1 Hour Per Month/0 Hours During Securities Trading - Rent wife's property.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-28
• S63 Uniform Securities Agent State Law Examination
  1999-12-09