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Roger Dean Behymer

LPl Financial LLC

Lucas, TX

CRD 5117409

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2011-03-31
  • TX RA
    APPROVED
    Since 2011-03-31

Branch Locations

Lucas, TX • 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
OrganizationCityStateFromTo
Lpl Financial Llc Lucas TX 03/2011 Present
Previous Registrations
  • 2010-01-19 → 2011-04-06
    Edward Jones
    Allen, TX
    Lucas, TX
    Mckinney, TX
    St. Louis, MO
Other Businesses

1. 3/21/2012: AFFINITY FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-29
S63 Uniform Securities Agent State Law Examination 2006-06-28
  • S65 Uniform Investment Adviser Law Examination
    2009-12-29
  • S63 Uniform Securities Agent State Law Examination
    2006-06-28
Other Names
  • Roger Behymer

View on SEC IAPD

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