Ann Catherine Agozzino

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
OH	RA	APPROVED	2020-06-22

OH RA
APPROVED

Since 2020-06-22

Branch Locations

Wapakoneta, OH • United States

150 East Wilson Bridge Rd 232, Worthington, OH 43085 • 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
H. Beck, Inc.	Rockville	MD	07/2010	11/2019
L&G Truckers, Inc.	Wapakoneta	OH	10/2005	Present
Lpl Financial, Llc	Wapakoneta	OH	11/2019	Present

07/2010 → 11/2019

H. Beck, Inc.

Rockville, MD
10/2005 → Present

L&G Truckers, Inc.

Wapakoneta, OH
11/2019 → Present

Lpl Financial, Llc

Wapakoneta, OH

Other Businesses

1)11/26/19- Rayburn Financial Advisory Services- DBA for LPL Business (entity for LPL business)- Inv. Related- Wapakoneta, OH- 100% 2) 5/6/2020 - Rayburn Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/05/2010 - 80 Hours Per Month/80 Hours During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2015-08-22

S63 Uniform Securities Agent State Law Examination

2015-08-22

Other Names

Ann Catherine Rayburn

View on SEC IAPD