Troy A Ross

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

• 03/2016 → Present
  Bancwest Investment Services, Inc
  La Habra, CA
• 03/2016 → Present
  Bank Of The West
  La Habra, CA
• 07/2023 → Present
  Lpl Financial Llc
  Tempe, AZ

Previous Registrations

• 2016-03-18 → 2023-07-19
  Bancwest Investment Services, Inc.
  Anaheim, CA
  La Habra, CA
  Brea, CA
  La Mirada, CA
  Fullerton, CA
  Tempe, AZ
  Omaha, NE
• 2013-01-15 → 2016-02-08
  U.S. Bancorp Advisors, Llc
  Yorba Linda, CA
  Huntington Beach, CA
  Fountain Valley, CA
  Huntington Beach, CA
  Irvine, CA
  La Habra, CA
  Anaheim, CA
  Santa Ana, CA
  Tustin, CA
  Fullerton, CA

Other Businesses

1) 05/03/2023 - BMO Investment Services - Investment Related - At Reported Business Locations - DBA for LPL Business (entity for LPL business)

Exams

• S66 Uniform Combined State Law Examination
  2013-01-14
• S63 Uniform Securities Agent State Law Examination
  2010-04-19