Claudia Roxanne Turek

LPl Financial LLC

CRD 6215737

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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
IL	RA	APPROVED	2018-11-20

IL RA
APPROVED

Since 2018-11-20

Branch Locations

120 S State St Fl 3, Chicago, IL 60603 • United States

Chicago, IL • 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	Chicago	IL	06/2013	Present

06/2013 → Present

Lpl Financial, Llc

Chicago, IL

Other Businesses

1. 12/11/2014 - RESPONSIBLE INVESTMENT GROUP/ DBA FOR LPL BUSINESS/ 100%/ CHICAGO, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-11-19
S63	Uniform Securities Agent State Law Examination	2015-10-07

S65 Uniform Investment Adviser Law Examination

2018-11-19
S63 Uniform Securities Agent State Law Examination

2015-10-07

Other Names

Claudia Roxanne Van Os

View on SEC IAPD

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Nearby Offices

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