Raymond Borja

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
KY	RA	APPROVED	2022-07-21

KY RA
APPROVED

Since 2022-07-21

Branch Locations

Lexington, KY • 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, Llc	Lexington	KY	08/2021	Present
Unemployed	Lexington	KY	04/2020	07/2021
Elemental Processing Llc	Lexington	KY	10/2018	03/2020
Jrs Llc	Lexington	KY	01/2018	12/2019
App Canna	Lexington	KY	08/2016	12/2017

08/2021 → Present

Lpl Financial, Llc

Lexington, KY
04/2020 → 07/2021

Unemployed

Lexington, KY
10/2018 → 03/2020

Elemental Processing Llc

Lexington, KY
01/2018 → 12/2019

Jrs Llc

Lexington, KY
08/2016 → 12/2017

App Canna

Lexington, KY

Other Businesses

1. 04/13/2023 - Kenwick Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - IAR - Start Date 01/30/2023 - 40 Hours Per Month/ 40 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-07-21

S66 Uniform Combined State Law Examination

2022-07-21

View on SEC IAPD