Erick Arndt

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	2022-03-23
CA	RA	APPROVED	2013-01-03

TX RA
APPROVED_RES

Since 2022-03-23
CA RA
APPROVED

Since 2013-01-03

Branch Locations

Stevenson Ranch, CA • United States

Disclosures

1 disclosure category 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Stevenson Ranch	CA	01/2013	Present

01/2013 → Present

Lpl Financial, Llc

Stevenson Ranch, CA

Previous Registrations

2011-10-19 → 2012-11-20

Pfs Investments Inc.

Manchester, NH

Valencia, CA

Nashua, NH

Nashua, NH

Other Businesses

1. 04/08/2013: VIRTUE WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S). 2. 1/9/2020 - Retirement Partners of California - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/19/2019 - 160 Hours Per Month/8 Hours During Securities Trading. 3. 05/06/2024 - Virtue Wealth Management - Non-Inv Related - At Reported Business Location(s) - Other - Estate Planning - Started: 4/4/2024 - 4 Hrs/Mo During Trading. 4. 11/07/2025 - CA - Other - Quarterly reports - Investment Related - At Reported Business Location(s) - Start Date 10/20/2025 - 1 hour per month/ during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-03-03
S63	Uniform Securities Agent State Law Examination	2003-10-20

S65 Uniform Investment Adviser Law Examination

2011-03-03
S63 Uniform Securities Agent State Law Examination

2003-10-20

View on SEC IAPD