Kevin Roy Woldt

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_RES	2024-06-18
WI	RA	APPROVED	2018-02-14

TX RA
APPROVED_RES

Since 2024-06-18
WI RA
APPROVED

Since 2018-02-14

Branch Locations

Pewaukee, WI • 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 Yes
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
Sii Investments, Inc.	Pewaukee	WI	09/1997	02/2018
Lpl Financial Llc	Pewaukee	WI	02/2018	Present

09/1997 → 02/2018

Sii Investments, Inc.

Pewaukee, WI
02/2018 → Present

Lpl Financial Llc

Pewaukee, WI

Previous Registrations

2017-07-28 → 2018-02-14

Sii Investments, Inc.

Brookfield, WI

Pewaukee, WI

Pewaukee, WI

Other Businesses

1. 12/22/2017 - First Plan Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - start date 1994. 2. 07/14/2025 - Select Realty - Mortgage/Real Estate Services - Investment Related - At Reported Business Location(s) - Start date: 08/01/1994 - 5hr/mnth

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-07-21
S63	Uniform Securities Agent State Law Examination	1994-07-14

S65 Uniform Investment Adviser Law Examination

2017-07-21
S63 Uniform Securities Agent State Law Examination

1994-07-14

View on SEC IAPD