Emory Roy Guest

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

• 06/2003 → Present
  Action Advisors, Inc.
  Houston, TX
• 07/2010 → Present
  Lpl Financial, Llc
  Richmond, TX

Previous Registrations

• 2007-11-07 → 2010-06-30
  Usa Wealth Management Llc
  Grand Rapids, MI

Other Businesses

1) 07/01/2010: NON-VARIABLE INSURANCE DBA - CINCO RANCH FINANCIAL - FIXED INSURANCE - LIFE & HEALTH. - 50% OF TIME - KATY, TX. 2) 07/01/2010: OTHER-FOR TAX PURPOSES - ACTION ADVISORS - THIS ENTITY OWNS CINCO RANCH FINANCIAL - HIS SECURITIES DBA - NOT HELD OUT TO PUBLIC. - KATY, TX. 3) 4/7/2011: TAX PREP/ACCOUNTING/BOOKKEEPING - CINCO RANCH FINANCIAL - COLLECT CLIENT TAX PREPARATION DOCUMENTS, MAKE NOTES, ORGANIZE AND FORWARD TO A CONTRACTED CPA. COMMUNICATE WITH CPA DURING PREPARATION AND THEN DELIVER THE FINISHED TAX RETURN TO THE CLIENT. - TIME SPENT 1%. 4)6/23/2011: NON-VARIABLE INSURANCE DBA - ACTION ADVISORS, INC. - PRESIDENT AND OWNER OF ACTION ADVISORS, INC. WHICH OWNS THIS DBA. ALL OF OUR SERVCIES ARE OFFERED THROUGH THE DBA NAME. I AM RESPONSIBLE FOR ALL INTERNAL OPERATIONS INCLUDING BOOKKEEPING, MARKETING, SALES AND SERVICE. - CINCO RANCH FINANCIAL - TIME SPENT 98% - KATY, TX. 5) 6/12/2012: NON-VARIABLE INSURANCE - GUEST AGENCY - TAKING OVER MY FATHER'S BOOK OF FIXED INSURANCE BUSINESS. HE IS RETIRING AND HAS HIS FIXED INSURANCE RENEWAL COMMISSIONS BEING PAID TO THIS DBA. I WILL BE RESPONSIBLE FOR SERVICING CLIENTS AND HAVE AUTHORITY OVER THE NAME GUEST AGENCY. - TIME SPENT 1% - KATY, TX. 6) 10/28/2014 - CINCO RANCH FINANCIAL GROUP - INSURANCE AGENCY - NON-VARIABLE INSURANCE - TIME SPENT 20 HOURS PER MONTH - KATY, TX 7) 10/29/2014 - CINCO RANCH FINANCIAL GROUP - NON-VARIABLE INSURANCE - TIME SPENT 20 HOURS PER MONTH - KATY, TX 8) 11/07/2014 - GUEST AGENCY - INSURANCE AGENCY - TIME SPENT 5 HOURS PER MONTH - KATY, TX

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-10-19
• S63 Uniform Securities Agent State Law Examination
  2007-05-17

Designations

• Certified Financial Planner