Roseann Mary Pinciotto

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 02/2012 → 01/2018
  Waddell & Reed Inc
  Seattle, WA
• 01/2012 → 01/2018
  Various Insurance Carriers For W&R Insurance Agencies
  Shoreline, WA
• 01/2018 → 11/2024
  Pruco Securities, Llc.
  Bellevue, WA
• 01/2018 → Present
  Prudential Insurance Company Of America
  Bellevue, WA
• 11/2024 → Present
  Lpl Enterprise, Llc
  Mercer Island, WA

Previous Registrations

• 2018-01-29 → 2024-11-14
  Pruco Securities, Llc.
  Mercer Island, WA
  Pawtucket, RI
• 2012-02-21 → 2018-01-31
  Waddell & Reed
  Seattle, WA
  Bellevue, WA
  Seattle, WA
  Lynnwood, WA
  Tacoma, WA
• 2010-02-08 → 2012-01-05
  Edward Jones
  Seattle, WA
  St Louis, MO

Exams

• S66 Uniform Combined State Law Examination
  2010-02-05

Other Names

• Roseann M Pinciotto
• Roseann Pinciotto
• Rose Pinciotto