Colin Ward Wren

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
CA	RA	APPROVED	2022-06-28
TX	RA	APPROVED	2022-06-28

CA RA
APPROVED

Since 2022-06-28
TX RA
APPROVED

Since 2022-06-28

Branch Locations

Carlsbad, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	La Jolla	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	La Jolla	CA	11/2016	06/2022
Lpl Financial Llc	Carlsbad	CA	06/2022	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

La Jolla, CA
11/2016 → 06/2022

Wells Fargo Clearing Services, Llc

La Jolla, CA
06/2022 → Present

Lpl Financial Llc

Carlsbad, CA

Previous Registrations

2008-08-01 → 2022-07-05

Wells Fargo Clearing Services, Llc

La Jolla, CA
2002-10-04 → 2008-08-22

Ubs Financial Services Inc.

Walnut Creek, CA

Walnut Creek, CA

San Marcos, CA

Carlsbad, CA
1997-07-08 → 2002-10-17

A. G. Edwards & Sons, Inc.

Pleasanton, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-12-06
S63	Uniform Securities Agent State Law Examination	1991-09-25

S65 Uniform Investment Adviser Law Examination

1995-12-06
S63 Uniform Securities Agent State Law Examination

1991-09-25

Other Names

Colin Ward Wren
Colin Ward Ii Wren

View on SEC IAPD