Andrew Gilbert Fraley

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
TX	RA	APPROVED_RES	2016-03-07
MN	RA	APPROVED	2013-12-20

TX RA
APPROVED_RES

Since 2016-03-07
MN RA
APPROVED

Since 2013-12-20

Branch Locations

Blaine, MN • 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	Forest Lake	MN	08/2013	Present

08/2013 → Present

Lpl Financial Llc

Forest Lake, MN

Previous Registrations

2010-04-22 → 2013-08-16

Ameriprise Financial Services, Llc

Lake Elmo, MN

Minneapolis, MN

Other Businesses

1. 2/11/2014 - DBA ONLY - FRALEY FINANCIAL - INV REL - At Reported Business Location(s) 2. 06/22/2016: Fraley Financial - DBA for LPL Business (entity for LPL business) - Fraley Financial - INV REL - Start 09/01/2013 - 255 SE HWY 97 1A Forest Lake, MN 55025 - 40 Hr/Mo During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-03-26

S66 Uniform Combined State Law Examination

2007-03-26

Designations

Certified Financial Planner

View on SEC IAPD