Dawn Alta Rehrig

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
DE	RA	APPROVED	2017-04-10
TX	RA	APPROVED	2003-11-12
VA	RA	APPROVED	2003-06-06

DE RA
APPROVED

Since 2017-04-10
TX RA
APPROVED

Since 2003-11-12
VA RA
APPROVED

Since 2003-06-06

Branch Locations

Rehoboth Beach, DE • 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
Linsco/Private Ledger Corp.	Rehoboth Beach	DE	06/2002	Present

06/2002 → Present

Linsco/Private Ledger Corp.

Rehoboth Beach, DE

Other Businesses

1. 02/23/09 / DBA / WEALTH MANAGEMENT STRATEGIES

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-06-04
S63	Uniform Securities Agent State Law Examination	1992-02-13

S65 Uniform Investment Adviser Law Examination

2003-06-04
S63 Uniform Securities Agent State Law Examination

1992-02-13

View on SEC IAPD