Rajesh Kantilal Upadhyaya

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	2021-04-13
CA	RA	APPROVED	1999-05-11

TX RA
APPROVED_RES

Since 2021-04-13
CA RA
APPROVED

Since 1999-05-11

Branch Locations

Anaheim Hills, CA • 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	Anaheim Hills	CA	04/1999	Present

04/1999 → Present

Lpl Financial Llc

Anaheim Hills, CA

Other Businesses

(1) 02/10/2003: NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - INSURANCE (2) 08/26/2004: NO BUSINESS NAME - NOT INV. REL. - AT REPORTED BUSINESS LOCATION(S) - MORTGAGE ORIGINATION

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-12
S63	Uniform Securities Agent State Law Examination	1995-08-31

S65 Uniform Investment Adviser Law Examination

1996-04-12
S63 Uniform Securities Agent State Law Examination

1995-08-31

Other Names

Rajesh Upadhyaya

View on SEC IAPD