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Bruce David Schroeder

LPl Financial LLC

Arrington, TN

CRD 2460851

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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

AuthorityCategoryStatusDate
TN RA APPROVED 2021-09-08
TX RA APPROVED 2015-06-22
IL RA APPROVED 2009-05-01
  • TN RA
    APPROVED
    Since 2021-09-08
  • TX RA
    APPROVED
    Since 2015-06-22
  • IL RA
    APPROVED
    Since 2009-05-01

Branch Locations

Arrington, TN • 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
OrganizationCityStateFromTo
Lpl Financial Llc Naperville IL 05/2009 Present
Previous Registrations
Other Businesses

1. 1/14/2015 - SCHROEDER WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-03
S63 Uniform Securities Agent State Law Examination 1994-03-31
  • S65 Uniform Investment Adviser Law Examination
    2001-01-03
  • S63 Uniform Securities Agent State Law Examination
    1994-03-31
Designations
  • Certified Financial Planner

View on SEC IAPD

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