Alexis-rae R Sharma

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
KY	RA	APPROVED	2023-05-03
CA	RA	APPROVED	2006-09-27

KY RA
APPROVED

Since 2023-05-03
CA RA
APPROVED

Since 2006-09-27

Branch Locations

Lexington, KY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco Private Ledger)	San Juan Capistrano	CA	09/2006	Present

09/2006 → Present

Lpl Financial, Llc (Formerly: Linsco Private Ledger)

San Juan Capistrano, CA

Previous Registrations

2004-01-23 → 2006-09-28

Equitable Advisors, Llc

Irvine, CA

Irvine, CA

Other Businesses

1. 2/26/2009 - NON-VARIABLE INSURANCE DBA - ASSEMBLY POINTE FINANCIAL - FIXED INSURANCE - SAN JUAN CAPISTRANO, CA 2. 3/19/2021 - Spite Farm - Investment Related - Lexington, KY 40511 - Real Estate Rental - Started 04/01/2021- 5 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-12-17

S66 Uniform Combined State Law Examination

2003-12-17

Designations

Certified Financial Planner

Other Names

Alexis-Rae Roulier
Alexis-Rae Roulier
Alexis-Rae R Sharma
Alexis-Rae R Sharma,Cfp

View on SEC IAPD