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Roger Ivan Toledo

LPl Financial LLC

Austin, TX

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-23
  • TX RA
    APPROVED
    Since 2026-03-23

Branch Locations

500 W. 5Th Street Suite 100, Austin, TX 78701 • 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Miami Beach FL 03/2010 12/2018
Kovack International Wealth Management, Inc. Fort Lauderdale FL 06/2019 12/2019
Unemployed Miami FL 12/2018 05/2019
First Trust Portfolios L.P. Wheaton IL 12/2020 11/2024
First Trust Advisors L.P. Wheaton IL 12/2020 11/2024
Patrick Capital Markets, Llc St Louis MO 10/2025 03/2026
Unemployed Austin TX 12/2024 09/2025
Cima Financial Regulatory Consultants Weston FL 02/2020 10/2020
Lpl Financial Llc Austin TX 03/2026 Present
International Bank Of Texas Austin TX 03/2026 Present
  • 03/2010 → 12/2018
    Morgan Stanley Smith Barney
    Miami Beach, FL
  • 06/2019 → 12/2019
    Kovack International Wealth Management, Inc.
    Fort Lauderdale, FL
  • 12/2018 → 05/2019
    Unemployed
    Miami, FL
  • 12/2020 → 11/2024
    First Trust Portfolios L.P.
    Wheaton, IL
  • 12/2020 → 11/2024
    Wheaton, IL
  • 10/2025 → 03/2026
    Patrick Capital Markets, Llc
    St Louis, MO
  • 12/2024 → 09/2025
    Unemployed
    Austin, TX
  • 02/2020 → 10/2020
    Cima Financial Regulatory Consultants
    Weston, FL
  • 03/2026 → Present
    Austin, TX
  • 03/2026 → Present
    International Bank Of Texas
    Austin, TX
Previous Registrations
  • 2020-12-15 → 2024-12-19
    Austin, TX
    Wheaton, IL
  • 2019-06-28 → 2019-12-31
    Kovack International Advisors Inc.
    Fort Lauderdale, FL
    Fort Lauderdale, FL
  • 2010-06-30 → 2019-01-24
    Miami Beach, FL
    Aventura, FL
    Miami Beach, FL
    Aventura, FL
    Miami, FL
  • 2008-01-02 → 2008-04-11
    Boca Raton, FL
Other Businesses

1) 2/23/2026- Investment products and services are offered through LPL Financial LLC using the DBA/trade name IBC Investment Services - Inv. Related- At reported business location(s)- 160hrs/mth

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-03
S63 Uniform Securities Agent State Law Examination 2010-04-06
  • S66 Uniform Combined State Law Examination
    2016-11-03
  • S63 Uniform Securities Agent State Law Examination
    2010-04-06

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