Ray Dean Mize

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
CA	RA	APPROVED	2010-05-27
TX	RA	APPROVED_RES	2010-05-26

CA RA
APPROVED

Since 2010-05-27
TX RA
APPROVED_RES

Since 2010-05-26

Branch Locations

Oxnard, CA • 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	Oxnard	CA	05/2010	Present

05/2010 → Present

Lpl Financial

Oxnard, CA

Previous Registrations

2009-04-30 → 2010-04-30

Stifel, Nicolaus & Company, Incorporated

Oxnard, CA
2007-06-22 → 2009-05-13

Ubs Financial Services Inc.

Beverly Hills, CA

Other Businesses

1. 5/26/2010 - DBA ONLY- WHITE SWAN WEALTH MANAGEMENT FIXED INSURANCE - LIFE, LTC & DISABILITY 2. 04/09/2014 * Royalties * Royalties from TV * not inv rel * time spent 0%

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-06-21

S66 Uniform Combined State Law Examination

2007-06-21

Other Names

Ray Dean Mize

View on SEC IAPD