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Karla Lee Ukman

LPl Financial LLC

Fort Mill, SC

Ballwin, MO

CRD 6259938

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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
MO RA APPROVED 2022-11-21
TX RA APPROVED 2022-11-21
  • MO RA
    APPROVED
    Since 2022-11-21
  • TX RA
    APPROVED
    Since 2022-11-21

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • United States

Ballwin, MO • 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
Pruco Securities, Llc. St. Louis MO 01/2015 11/2022
Lpl Financial Llc Fenton MO 11/2022 07/2026
Lpl Financial Llc Fort Mill SC 07/2026 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-09
S63 Uniform Securities Agent State Law Examination 2014-03-12
  • S65 Uniform Investment Adviser Law Examination
    2020-12-09
  • S63 Uniform Securities Agent State Law Examination
    2014-03-12

View on SEC IAPD

Nearby Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
BELLEAIR WEALTH MANAGEMENT, LLC
WEALTHCARE ADVISORY PARTNERS LLC

Nearby Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN

Nearby Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC

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