Lance Emmett Woodburn

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
FL	RA	APPROVED	2019-10-17
TX	RA	APPROVED	2006-01-10

FL RA
APPROVED

Since 2019-10-17
TX RA
APPROVED

Since 2006-01-10

Branch Locations

La Joya, TX • 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	Tallahassee	FL	01/2006	Present

01/2006 → Present

Lpl Financial Llc

Tallahassee, FL

Previous Registrations

2003-01-10 → 2006-01-06

Riverstone Wealth Management, Inc.

Austin, TX

Other Businesses

1. 05/07/09 - OTHER-MUSICIAN/LESSONS/PERFORM/RECORD/SOUND MAN, GUITAR LESSONS, PERFORM OR RECORD, RUN SOUND, 5% OF TIME. 2. 08/26/2019 - No business name - Not investment related - 1645 Fernando Dr Tallahassee, FL 32303 - Act in a Fiduciary Capacity - start date:08/20/2019 - 5 hrs/mo - 1 hr during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-11-18
S63	Uniform Securities Agent State Law Examination	1996-04-24

S65 Uniform Investment Adviser Law Examination

2002-11-18
S63 Uniform Securities Agent State Law Examination

1996-04-24

View on SEC IAPD