Riley Robert Giauque

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

• 01/2009 → 01/2021
  Student
  Fargo, ND
• 02/2017 → 05/2019
  Play It Again Sports
  Fargo, ND
• 01/2020 → Present
  Lpl Financial, Llc
  Port Charlotte, FL
• 08/2019 → 03/2021
  Legacy Wealth Management
  Fargo, ND
• 03/2021 → 11/2023
  Flaharty Asset Management, Llc
  Punta Gorda, FL

Previous Registrations

• 2021-04-08 → 2023-11-28
  Flaharty Asset Management, Llc
  Clearwater, FL
  Punta Gorda, FL

Other Businesses

1. 10/18/2022 - Riley Giauque, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 09/07/2022 - 0 Hours Per Month/0 Hours During Securities Trading 2. 12/1/2023: Blue Ox Advisors; At Reported Business Location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 11/22/2023; 160hrs/mo.; 100hrs during trading. 3. 01/31/2026 - Blue Ox Advisors - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 12/15/2025 - 40 hours per month/ 10 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2020-11-06

Designations

• Certified Financial Planner