Aaron Alex Ames

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2016-11-15

OH RA
APPROVED

Since 2016-11-15

Branch Locations

5995 Fairfield Road, #2, Oxford, OH 45056 • 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

Organization	City	State	From	To
Lpl Financial Llc	Oxford	OH	09/2006	Present

09/2006 → Present

Lpl Financial Llc

Oxford, OH

Other Businesses

1. 06/04/2014 - NO BUSINESS NAME - NOT INV REL - Notary - 5995 Fairfield Rd #2 Oxford, OH 45056 - START 07/01/2006 - NO TIME SPENT 2. 01/13/2016 - Ames Financial Advisors - INV REL - Ames Financial Advisors - DBA for LPL Business (entity for LPL business) - START 02/01/2016 - 120 HOURS PER MONTH DURING TRADING - Regular LPL business.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2009-12-16

S63 Uniform Securities Agent State Law Examination

2009-12-16

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

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