Brock William Richard Rouch

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 03/2022
  Morgan Stanley Smith Barney Llc
  Casper, WY
• 01/2016 → 03/2022
  Morgan Stanley Private Bank, National Association
  New York, NY
• 04/2022 → Present
  Lpl Financial Llc
  Casper, WY

Previous Registrations

• 2016-01-20 → 2022-04-06
  Morgan Stanley
  Casper, WY

Other Businesses

1- 04/2022 / Platte River Private Wealth / DBA for LPL Business (entity for LPL business) / Investment Related / At Reported Business Location(s) 2- 04/2022- PRPW Holdings LLC- Business Entity For Tax/Investment Purposes Only- non-inv. related- Casper, WY- start date 4/2022- 1hr/mth 3- 01/26/2026 - BWR Corp - Business Entity For Tax/Investment Purposes Only - Not investment Related - Home Based - Start Date 04/13/2022 - 0 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2016-01-20