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Kay Marie Auwerter

LPl Financial LLC

Copley, OH

CRD 5463625

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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

AuthorityCategoryStatusDate
OH RA APPROVED 2024-06-17
  • OH RA
    APPROVED
    Since 2024-06-17

Branch Locations

Copley, OH • 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
Lpl Financial Llc North Canton OH 10/2008 Present
Stratos Wealth Partners, Ltd Beachwood OH 08/2010 06/2024
Previous Registrations
  • 2012-08-07 → 2024-07-09
    Stratos Wealth Partners, Ltd
    Hudson, OH
    Beachwood, OH
    Brecksville, OH
    North Canton, OH
  • 2011-09-28 → 2012-08-06
    Wrp Investments, Inc.
    Garfield Heights, OH
  • 2009-02-24 → 2011-09-27
    Edward Jones
    St Louis, MO
    Brecksville, OH
    Solon, OH
  • 2008-02-11 → 2009-02-25
    Equitable Advisors, Llc
    Akron, OH
    Independence, OH
    Akron, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-08
  • S66 Uniform Combined State Law Examination
    2008-02-08
Other Names
  • Kay Marie Sterling
  • Kay Auwerter

View on SEC IAPD

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