Wesley Clayton Roan

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
LA	RA	APPROVED	2023-11-17
TX	RA	APPROVED_RES	2023-11-16

LA RA
APPROVED

Since 2023-11-17
TX RA
APPROVED_RES

Since 2023-11-16

Branch Locations

425 Ashley Ridge Blvd Ste 320, Shreveport, LA 71106-7226 • 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
Primerica Financial Services	Shreveport	LA	02/2006	11/2023
Pfs Investments Inc.	Shreveport	LA	11/2006	11/2023
Lpl Financial, Llc	Shreveport	LA	11/2023	Present

02/2006 → 11/2023

Primerica Financial Services

Shreveport, LA
11/2006 → 11/2023

Pfs Investments Inc.

Shreveport, LA
11/2023 → Present

Lpl Financial, Llc

Shreveport, LA

Previous Registrations

2012-04-11 → 2023-11-15

Pfs Investments Inc.

Shreveport, LA

Shreveport, LA

Other Businesses

1)11/14/2023 - Cornerstone Investment Strategies, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)11/14/2023 - BMW LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s)

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2017-05-11

S63 Uniform Securities Agent State Law Examination

2017-05-11

View on SEC IAPD