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Douglas Morgan Rathbun

LPl Financial LLC

Winter Haven, FL

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-03-05
TX RA APPROVED 2026-03-04
  • FL RA
    APPROVED
    Since 2026-03-05
  • TX RA
    APPROVED
    Since 2026-03-04

Branch Locations

72 4Th St Nw, Winter Haven, FL 33881 • 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
Cisco Systems San Jose CA 08/2014 10/2016
Unemployed San Francisco CA 10/2019 12/2019
Unemployed Winter Haven FL 01/2020 06/2020
Ubs Financial Services Inc. Winter Haven FL 06/2020 03/2026
Cisco Systems San Jose CA 10/2016 10/2019
Lpl Financial Llc Winter Haven FL 03/2026 Present
  • 08/2014 → 10/2016
    Cisco Systems
    San Jose, CA
  • 10/2019 → 12/2019
    Unemployed
    San Francisco, CA
  • 01/2020 → 06/2020
    Unemployed
    Winter Haven, FL
  • 06/2020 → 03/2026
    Ubs Financial Services Inc.
    Winter Haven, FL
  • 10/2016 → 10/2019
    Cisco Systems
    San Jose, CA
  • 03/2026 → Present
    Lpl Financial Llc
    Winter Haven, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-14
  • S66 Uniform Combined State Law Examination
    2020-12-14

View on SEC IAPD

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FOUNDATIONS INVESTMENT ADVISORS LLC
EDWARD JONES
MORGAN STANLEY

Other Investors

RACHEL PINNER LOBDELL
AMY B. GARBRECHT
DEBORAH MILLER SWENSON
Jack Heiss
ERIC EMBREY JOHNSON
MARK D WILLIAMS
GIOVANNA NEGLIA TESTONI
BRIAN GLENN HEMP

Other Offices

UBS FINANCIAL SERVICES INC. · WINTER HAVEN, FL
LPL FINANCIAL LLC · WINTER HAVEN, FL
TUCKER ASSET MANAGEMENT LLC · Winter Haven, FL
WELLS FARGO CLEARING SERVICES, LLC · WINTER HAVEN, FL
COMMONWEALTH FINANCIAL NETWORK · WINTER HAVEN, FL
PFS INVESTMENTS INC. · WINTER HAVEN, FL
FOUNDATIONS INVESTMENT ADVISORS LLC · Winter Haven, FL
LPL FINANCIAL LLC · WINTER HAVEN, FL

More in Winter Haven, FL

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