Trace Reagan Dennis

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	2015-11-04

TX RA
APPROVED

Since 2015-11-04

Branch Locations

601 Commerce St, Wylie, TX 75098 • 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
Jal Dennis Group	Wylie	TX	11/2014	Present
Lpl Financial, Llc	Wylie	TX	05/2015	Present

11/2014 → Present

Jal Dennis Group

Wylie, TX
05/2015 → Present

Lpl Financial, Llc

Wylie, TX

Other Businesses

(1) 05/14/2015: JAL DENNIS GROUP INVESTMENT SERVICES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV RLE - AT REPORTED BUSIENSS LOCATION(S) - START 11/01/2014 - 99% OF TIME SPENT (2) 4/2/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Started 06/21/2017 - 1 Hour Per Month During Securities Trading. (3) 06/30/2022 - Dennis Research LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Start Date - 01/01/2022 - 0 Hours Per Month/ 0 Hours During Securities Trading. (4) 04/13/2026 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 05/01/2024 - 10 hours per month/ 2 hours during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-11-03

S66 Uniform Combined State Law Examination

2015-11-03

View on SEC IAPD