Julie Jean Rafenstein

LPl Financial LLC

CRD 5918891

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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
WI	RA	APPROVED	2021-03-24

WI RA
APPROVED

Since 2021-03-24

Branch Locations

W62N209 Washington Ave, Cedarburg, WI 53012 • United States

West Bend, WI • 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
Bmo Harris Financial Advisors Inc	Cedarburg	WI	06/2014	Present
Lpl Financial Llc	Cedarburg	WI	03/2021	Present

06/2014 → Present

Bmo Harris Financial Advisors Inc

Cedarburg, WI
03/2021 → Present

Lpl Financial Llc

Cedarburg, WI

Previous Registrations

2018-09-21 → 2021-03-24

Bmo Harris Financial Advisors, Inc.

Cedarburg, WI

Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - CEDARBURG, WI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-09-17
S63	Uniform Securities Agent State Law Examination	2018-05-21

S65 Uniform Investment Adviser Law Examination

2018-09-17
S63 Uniform Securities Agent State Law Examination

2018-05-21

Other Names

Julie Jean Schultz

View on SEC IAPD

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