Shannon Rose Miller

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
CA	RA	APPROVED	2006-06-21

CA RA
APPROVED

Since 2006-06-21

Branch Locations

Indio, CA • 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 (Formerly: Linsco/Private Ledger Corp.)	Tustin	CA	01/2006	Present

01/2006 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Tustin, CA

Other Businesses

1. 4/13/2017 - American Kennel Club - Not Investment Related - Varied (Typically dog show sites and training venues) - Outside/W-2 Employment - AKC CGC Testing Evaluator - Started 03/21/2017 - 2 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-06-20
S63	Uniform Securities Agent State Law Examination	1994-01-10

S66 Uniform Combined State Law Examination

2006-06-20
S63 Uniform Securities Agent State Law Examination

1994-01-10

Other Names

Shannon Ruebhausen
Shannon Rose Cavazos

View on SEC IAPD