Rodney Lynn Harris

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	2021-06-04
IL	RA	APPROVED	2010-01-12

TX RA
APPROVED

Since 2021-06-04
IL RA
APPROVED

Since 2010-01-12

Branch Locations

Bloomington, IL • 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	Bloomington	IL	01/2010	Present

01/2010 → Present

Lpl Financial Llc

Bloomington, IL

Previous Registrations

2009-06-01 → 2010-01-21

Morgan Stanley

Peoria, IL
2002-11-29 → 2009-06-01

Citigroup Global Markets Inc.

Bloomington, IL

Bloomington, IL

Peoria, IL
1998-04-12 → 2002-12-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bloomington, IL

Other Businesses

(1) 04/16/2010: Rodney L. Harris LPL, Inc. - Business Entity For Tax/Investment Purposes Only - NOT INV REL - AT REPORTED BUSINESS LOCATION(S) - Shell account for tax and commission purposes.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-01-05
S63	Uniform Securities Agent State Law Examination	1995-12-22

S65 Uniform Investment Adviser Law Examination

1996-01-05
S63 Uniform Securities Agent State Law Examination

1995-12-22

Other Names

Rodney L Harris

View on SEC IAPD