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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
PA RA APPROVED 2023-06-14
  • PA RA
    APPROVED
    Since 2023-06-14

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

615 West Highland Ave, Ebensburg, PA 15931 • United States

615 West Highland Ave, Ebensburg, PA 15931 • 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
Allegheny Investments Ltd Ebensburg PA 01/2014 06/2023
Lpl Financial Fort Mill SC 06/2023 Present
  • 01/2014 → 06/2023
    Allegheny Investments Ltd
    Ebensburg, PA
  • 06/2023 → Present
    Lpl Financial
    Fort Mill, SC
Previous Registrations
Other Businesses

1- 06/2023 / Maruca Group / DBA for LPL Business (entity for LPL business) / Investment Related / 160 HRS MNTH/40 HRS Trading/100 Time Spnt..start date 10/14/2014

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-28
  • S66 Uniform Combined State Law Examination
    2014-08-28
Other Names
  • Robbie Maruca
  • Robert R. Maruca
  • Robert Maruca

View on SEC IAPD

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