Julia Oh

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2014 → 01/2017
  Charles Schwab & Co., Inc
  Englewood, CO
• 03/2017 → 11/2019
  Wells Fargo Clearing Services, Llc
  Denver, CO
• 11/2019 → 11/2021
  Unemployed
  Denver, CO
• 11/2021 → 06/2023
  Sigma Financial Corporation
  Denver, CO
• 06/2023 → Present
  Lpl Financial Llc
  Denver, CO

Previous Registrations

• 2021-11-09 → 2023-06-02
  Spc
  Denver, CO
  Ann Arbor, MI
• 2017-04-06 → 2019-11-19
  Wells Fargo Clearing Services, Llc
  Denver, CO
• 2015-12-18 → 2017-01-19
  Charles Schwab & Co., Inc.
  Lone Tree, CO
  Lone Tree, CO

Other Businesses

1) 06/02/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 11/19/2021 - 120 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100% 2) 06/02/2023 - JJM Holdings, Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 07/15/2022 - 0 Hours Per Month/ During Securities Trading 3) 06/02/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Notary - Start Date 01/17/2022 - 1 Hour Per Month/ 0 Hours During Securities Trading - Time Spent 1% 4) 07/13/2023 - Upstream Tax Partners - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Client Relationship Manager - Start Date 02/01/2022 - 15 Hours Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2015-12-18