Anne Marie Straus

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
TX	RA	APPROVED	2014-10-24
IA	RA	APPROVED	2010-08-03

TX RA
APPROVED

Since 2014-10-24
IA RA
APPROVED

Since 2010-08-03

Branch Locations

Spirit Lake, IA • 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
Lpl Financial, Llc	Spirit Lake	IA	02/2002	Present

02/2002 → Present

Lpl Financial, Llc

Spirit Lake, IA

Previous Registrations

2003-02-25 → 2005-12-31

Responsible Investment Group, Llc

Chicago, IL

Other Businesses

(1) 01/29/2002: HENKELS FINANCIAL, INC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 11/19/2014: Anne Straus - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start 11/11/2014 - 4 Hr/Mo; 1 Hour(s) During Securities Trading - INS TYPES: Life, Health, Disability, LTC, Fixed Annuities

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-01-28
S63	Uniform Securities Agent State Law Examination	1995-08-28

S65 Uniform Investment Adviser Law Examination

1998-01-28
S63 Uniform Securities Agent State Law Examination

1995-08-28

Designations

Certified Financial Planner

Other Names

Anne Marte Henkels
Anne Marie Henkels

View on SEC IAPD