Robert Roisum

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
TX	RA	APPROVED	2024-07-01

TX RA
APPROVED

Since 2024-07-01

Branch Locations

Manchaca, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Mml Investors Services Llc	Austin	TX	08/2015	07/2024
Massmutual Life Insurance Co	Austin	TX	08/2015	07/2024
Lpl Financial Llc	Manchaca	TX	07/2024	Present

08/2015 → 07/2024

Mml Investors Services Llc

Austin, TX
08/2015 → 07/2024

Massmutual Life Insurance Co

Austin, TX
07/2024 → Present

Lpl Financial Llc

Manchaca, TX

Previous Registrations

2017-03-21 → 2024-07-16

Mml Investors Services, Llc

Austin, TX

Austin, TX

Manchaca, TX
2014-12-10 → 2015-06-09

Edward Jones

Austin, TX

San Antonio, TX

San Antonio, TX

St Louis, MO

Other Businesses

1- 05/2024 / Cardinal Financial Partners / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 6.5 during trading / At reported business location(s).

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-12-07

S66 Uniform Combined State Law Examination

2014-12-07

View on SEC IAPD