Karen Ann Wobken

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
MN	RA	APPROVED	2025-10-13
IL	RA	APPROVED	2025-01-23

MN RA
APPROVED

Since 2025-10-13
IL RA
APPROVED

Since 2025-01-23

Branch Locations

Bloomington, MN • United States

231 S La Salle St # 13 13Th Floor, Chicago, IL 60604 • 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
Wayne Hummer/Focused Investments	Chicago	IL	12/2005	Present
Lpl Financial Llc	Fort Mill	SC	01/2025	Present

12/2005 → Present

Wayne Hummer/Focused Investments

Chicago, IL
01/2025 → Present

Lpl Financial Llc

Fort Mill, SC

Previous Registrations

2011-06-30 → 2025-01-23

Wintrust Investments Llc

Chicago, IL

Bloomington, MN

Other Businesses

1- 1-2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 08/12/2024- 160 hours per month/ during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-02-05

S66 Uniform Combined State Law Examination

2007-02-05

View on SEC IAPD