Lisle Max Ramsey

LPl Financial LLC

CRD 5454992

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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	2017-01-29
MO	RA	APPROVED	2011-06-24

TX RA
APPROVED_RES

Since 2017-01-29
MO RA
APPROVED

Since 2011-06-24

Branch Locations

8860 Ladue Road Suite 230, St. Louis, MO 63124-2068 • United States

St Louis, MO • 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	Clayton	MO	06/2011	Present

06/2011 → Present

Lpl Financial

Clayton, MO

Previous Registrations

2008-02-05 → 2011-05-05

Edward Jones

Clayton, MO

Clayton, MO

St Louis, MO

Other Businesses

1. 06/24/11 - CLAYTON INVESTMENT ASSOCIATES/ DBA ONLY/ CLAYTON, MO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-01-17

S66 Uniform Combined State Law Examination

2008-01-17

Other Names

Lisle Ramsey
L. Max Ramsey

View on SEC IAPD

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Nearby Offices

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