Roy Guy Grimes

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	2024-03-15
CA	RA	APPROVED	2017-03-13

TX RA
APPROVED_RES

Since 2024-03-15
CA RA
APPROVED

Since 2017-03-13

Branch Locations

21515 Hawthorne Blvd Ste 100, Torrance, CA 90503 • United States

73-301 Highway 111, Palm Desert, CA 92260 • United States

230 E Valley Blvd, Alhambra, CA 91801 • United States

1130 S Baldwin Ave, Arcadia, CA 91007 • United States

16130 Ventura Blvd., Encino, CA 91436 • United States

1292 W Redondo Beach Blvd, Gardena, CA 90247 • United States

444 W Ocean Blvd, Long Beach, CA 90802 • United States

31924 Crown Valley Road, Acton, CA 93510 • United States

3150 San Carlos Trail, Frazier Park, CA 93225 • United States

7060 N Fresno Street, Fresno, CA 93720 • United States

831 W Lancaster Blvd, Lancaster, CA 93534 • United States

748 W Rancho Vista Blvd Ste C, Palmdale, CA 93551 • United States

42024 N 50Th Street West, Quartz Hill, CA 93536 • United States

80250 Highway 111 Suite 101C, Indio, CA 92201 • United States

12300 Wilshire Blvd. Ste 100, Los Angeles, CA 90025 • United States

1900 Main Street, Suite 125, Irvine, CA 92614 • 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
Zions Capital Advisors, Inc.	Salt Lake City	UT	06/2004	03/2017
Zions Direct, Inc.	Irvine	CA	01/2014	01/2017
Lpl Financial, Llc	Irvine	CA	03/2017	Present
Zions Bank	Irvine	CA	04/1999	Present

06/2004 → 03/2017

Zions Capital Advisors, Inc.

Salt Lake City, UT
01/2014 → 01/2017

Zions Direct, Inc.

Irvine, CA
03/2017 → Present

Lpl Financial, Llc

Irvine, CA
04/1999 → Present

Zions Bank

Irvine, CA

Previous Registrations

2004-10-04 → 2017-03-14

Zions Capital Advisors, Inc.

Salt Lake City, UT

Irvine, CA

Los Angeles, CA

Other Businesses

1. 4/25/2017 - Wealth & Fiduciary Services - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Relationship Manager - Started 04/21/2017 - 5 Hours Per Month During Securities Trading. 2. 4/25/2017 - CB&T Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/13/2017 - 40 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2014-10-03
S65	Uniform Investment Adviser Law Examination	2004-10-01

S63 Uniform Securities Agent State Law Examination

2014-10-03
S65 Uniform Investment Adviser Law Examination

2004-10-01

View on SEC IAPD