Roy Charles Woehrman

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-01-01
TX	RA	APPROVED_RES	2011-08-30

CA RA
APPROVED

Since 2025-01-01
TX RA
APPROVED_RES

Since 2011-08-30

Branch Locations

Oceanside, CA • United States

Long Beach, CA • United States

Disclosures

2 disclosure categories 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Long Beach	CA	03/2005	Present

03/2005 → Present

Lpl Financial Llc

Long Beach, CA

Previous Registrations

2003-05-14 → 2005-03-01

Wells Fargo Clearing Services, Llc

Anaheim, CA

Other Businesses

1. 07/21/2015: NO BUSINESS NAME - INV REL - 5432 L. HONOAPIILANI RD. #2 LAHINA HI 96761 - REAL ESTATE RENTAL - START 07/31/2015 - 5 HR/MO NONE DURING SECS TRDG HRS - PROPERTY CO-OWNER. 2. 7/20/2017 - Legacy Retirement Planning Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 2007. 3. 03/18/2019 - DENIS LEECH MULLEN AND Diana Mullen - Not investment related - 16 Ginger Place Lahina Hawaii - Act in a Fiduciary Capacity - start date:01/01/2008 - 0 hrs/mo - 0 hrs during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-02-03
S63	Uniform Securities Agent State Law Examination	1995-01-20

S65 Uniform Investment Adviser Law Examination

1995-02-03
S63 Uniform Securities Agent State Law Examination

1995-01-20

Other Names

Roy C Woehrman

View on SEC IAPD