Roger Dean Frank

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2003 → 05/2024
  Berthel Fisher & Company Financial Services, Inc.
  Lincoln, NE
• 08/2016 → 05/2024
  Berthel Fisher & Company Planning, Inc.
  Lincoln, NE
• 05/2024 → Present
  Lpl Financial Llc
  Lincoln, NE

Previous Registrations

• 2008-01-03 → 2024-05-01
  Berthel, Fisher & Company Financial Services, Inc.
  Lincoln, NE
  Crete, NE
  Scottsdale, AZ
  Wilber, NE
  Lincoln, NE
  Grand Island, NE
  Lincoln, NE
• 2016-08-09 → 2024-05-01
  Bfc Planning, Inc.
  Lincoln, NE
  Cedar Rapids, IA
• 1999-03-02 → 2003-11-06
  Osaic Fa, Inc.
  Lincoln, NE

Other Businesses

1) 03/2024 - Frank Financial Concepts INC - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 160hrs/month - 100% time spent 2) 03/2024 - The Shirley Frank Revocable Trust - Act in a Fiduciary Capacity - Inv. Related - Lincoln, NE - Trustee - Start Date 08/06/2010 - 0hrs/month - 1% time spent 3) 07/05/2024 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 05/01/2024 - 5 Hours Per Month/ 1 Hour during Trading

Exams

• S66 Uniform Combined State Law Examination
  2007-12-21
• S63 Uniform Securities Agent State Law Examination
  1996-05-09