Ellen Rose Schriver

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	2020-06-09
TX	RA	APPROVED_RES	2013-02-06
CA	RA	APPROVED	2011-10-19

MN RA
APPROVED

Since 2020-06-09
TX RA
APPROVED_RES

Since 2013-02-06
CA RA
APPROVED

Since 2011-10-19

Branch Locations

Clinton, MN • United States

13620 N Fm 620, Bldg C Ste 200, Austin, TX 78717 • 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
Lpl Financial Llc	San Diego	CA	10/2011	Present

10/2011 → Present

Lpl Financial Llc

San Diego, CA

Previous Registrations

2011-06-30 → 2011-09-12

Voya Financial Advisors, Inc.

San Diego, CA

Indian Wells, CA
2006-02-14 → 2009-12-31

Kestra Investment Services, Llc

Dallas, TX

Dallas, TX

Dallas, TX

Dallas, TX
2004-03-08 → 2004-08-11

Citigroup Global Markets Inc.

Southlake, TX

Other Businesses

1. 03/13/2024 - Bayside Market - Outside/W-2 Employment - Not Investment Related - 9710 FM 2147, Horseshoe Bay, TX - Start Date 11/26/2023 - 65 Hours Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-01-09
S63	Uniform Securities Agent State Law Examination	1992-10-19

S66 Uniform Combined State Law Examination

2008-01-09
S63 Uniform Securities Agent State Law Examination

1992-10-19

Other Names

Ellen Rose Schriver
Ellen R Schriver
Ellen Rose Schriver
Ellen Rose Schriver

View on SEC IAPD