Leslie Robert Rosenblatt

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
AZ	RA	APPROVED	2025-05-01
CA	RA	APPROVED	2025-05-01
CO	RA	APPROVED	2025-05-01
GA	RA	APPROVED	2025-05-01
IL	RA	APPROVED	2025-05-01
LA	RA	APPROVED	2025-05-01
MD	RA	APPROVED	2025-05-01
NM	RA	APPROVED	2025-05-01
NC	RA	APPROVED	2025-05-01
PA	RA	APPROVED	2025-05-01
TX	RA	APPROVED	2025-05-01

AZ RA
APPROVED

Since 2025-05-01
CA RA
APPROVED

Since 2025-05-01
CO RA
APPROVED

Since 2025-05-01
GA RA
APPROVED

Since 2025-05-01
IL RA
APPROVED

Since 2025-05-01
LA RA
APPROVED

Since 2025-05-01
MD RA
APPROVED

Since 2025-05-01
NM RA
APPROVED

Since 2025-05-01
NC RA
APPROVED

Since 2025-05-01
PA RA
APPROVED

Since 2025-05-01
TX RA
APPROVED

Since 2025-05-01

Branch Locations

2600 Dallas Pkwy Ste 520 Ste 520, Frisco, TX 75034 • 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
Scf Investment Advisors, Inc.	Fresno	CA	07/2014	05/2025
Scf Securities, Inc.	Plano	TX	06/2015	05/2025
Lpl Financial Llc	Frisco	TX	05/2025	Present

07/2014 → 05/2025

Scf Investment Advisors, Inc.

Fresno, CA
06/2015 → 05/2025

Scf Securities, Inc.

Plano, TX
05/2025 → Present

Lpl Financial Llc

Frisco, TX

Previous Registrations

2014-07-14 → 2025-05-14

Scf Investment Advisors, Inc.

Plano, TX

Plano, TX

San Diego, CA

Plano, TX

Frisco, TX
2011-04-29 → 2014-08-07

Tfr Advisors Llp

Plano, TX
2009-03-10 → 2011-04-04

Mml Investors Services, Llc

Dallas, TX
2008-08-06 → 2009-02-25

Equitable Advisors, Llc

Dallas, TX
1999-03-04 → 2008-06-05

Valic Financial Advisors, Inc.

Addison, TX

Other Businesses

1- 05/2025- Tennyson Management Company - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 11/08/2023- 1 hour per month/ 0 hours during trading 2- 05/2025- Tennyson Capital Partners - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 07/23/2014 - 10 hours per month/ 0 hours during trading 3- 05/2025 - Tennyson Advisory Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/01/2017 - 180 hours per month/ 130 hours during trading 4- 05/2025 - TAG Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/01/2017 - 1 hour per month/ 1 hour during trading 5- 06/08/2026 - Elite Producer Group - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 06/04/2026 - 6 hours per month/ 4 hours during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-10-03
S63	Uniform Securities Agent State Law Examination	1995-02-01

S66 Uniform Combined State Law Examination

2001-10-03
S63 Uniform Securities Agent State Law Examination

1995-02-01

Other Names

Les Rosenblatt

View on SEC IAPD